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NORTH CAROLINA 

REGISTER 



VOLUME 10 • ISSUE 5 • Pages 297 - 335 

June 1, 1995 



IN THIS ISSUE 

Executive Order 

Decision Letters 

Commerce 

Environment, Health, and Natural Resources 

Justice 

Secretary of State 

RRC Objections 

Contested Case Decisions 



PUBLISHED BY 

The Office of Administrative Hearings 
Rules Division 
PO Drawer 27447 
Raleigh, NC 27611-7447 
Telephone (919) 733-2678 
Fax (919) 733-3462 






JUN S 1995 

kathp.twe r everett 
lav; library 



This publication is printed on permanent, acid-free paper in compliance with G.S. 125-1 1. 13 



INFORMATION ABOUT THE NORTH CAROLINA REGISTER AND ADMINISTRATIVE CODE 



NORTH CAROLINA REGISTER 

The North Carolina Register is published twice a month and 
contains information relating to agency, executive, legislative and 
judicial actions required by or affecting Chapter 150B of the 
General Statutes. All proposed administrative rules and notices of 
public hearings filed under G.S. 150B-21.2 must be published in 
the Register. The Register will typically comprise approximately 
fifty pages per issue of legal text. 

State law requires that a copy of each issue be provided free of 
charge to each county in the state and to various state officials and 
institutions. 

The Nortli Carolina Register is available by yearly subscription 
at a cost of one hundred and twenty dollars ($120.00) for 24 
issues Individual issues may be purchased for ten dollars 
($10.00). 

Requests for subscription to the North Carolina Register should 
be directed to the Office of Administrative Hearings, PO Drawer 
27447, Raleigh, NC 27611-7447. 

ADOPTION. AMENDMENT, AND REPEAL OF RULES 

The following is a generalized statement of the procedures to be 
followed for an agency to adopt, amend, or repeal a rule. For the 
specific statutory authority, please consult Article 2 A of Chapter 
150B of the General Statutes. 

Any agency intending to adopt, amend, or repeal a rule must 
first publish notice of the proposed action in the North Carolina 
Register. The notice must include the time and place of the public 
hearing (or instructions on how a member of the public may 
request a hearing); a statement of procedure for public comments; 
the text of the proposed rule or the statement of subject matter; the 
reason for the proposed action; a reference to the statutory 
authority for the action and the proposed effective date. 

Unless a specific statute provides otherwise, at least 15 days 
must elapse following publication of the notice in the North 
Carolina Register before the agency may conduct the public 
hearing and at least 30 days must elapse before the agency can take 
action on the proposed rule. An agency may not adopt a rule that 
differs substantially from the proposed form published as part of 
the public notice, until the adopted version has been published in 
the North Carolina Register for an additional 30 day comment 
period. 

When final action is taken, the promulgating agency must file the 
rule with the Rules Review Commission (RRC). After approval 
by RRC. the adopted rule is filed with the Office of Administrative 
Hearings (OAH). 

A rule or amended rule generally becomes effective 5 business 
days after the rule is filed with the Office of Administrative 
Hearings for publication in the North Carolina Administrative 
Code (NCAC). 

Proposed action on rules may be withdrawn by the promulgating 



agency at any time before final action is taken by the agency or 
before filing with OAH for publication in the NCAC. 

TEMPORARY RULES 

Under certain emergency conditions, agencies may issue 
temporary rules. Within 24 hours of submission to OAH. the 
Codifier of Rules must review the agency's written statement of 
findings of need for the temporary rule pursuant to the provisions 
in G.S. 150B-21.1. If the Codifier determines that the findings 
meet the criteria in G.S. 150B-21.1, the rule is entered into the 
NCAC. If the Codifier determines that the findings do not meet 
the criteria, the rule is returned to the agency. The agency may 
supplement its findings and resubmit the temporary rule for an 
additional review or the agency may respond that it will remain 
with its initial position. The Codifier, thereafter, will enter the 
rule into the NCAC. A temporary rule becomes effective either 
when the Codifier of Rules enters the rule in the Code or on the 
sixth business day after the agency resubmits the rule without 
change. The temporary rule is in effect for the period specified in 
the rule or 180 days, whichever is less. An agency adopting a 
temporary rule must begin rule-making procedures on the 
permanent rule at the same time the temporary rule is filed with 
the Codifier. 

NORTH CAROLINA ADMINISTRATIVE CODE 

The North Carolina Administrative Code (NCAC) is a 
compilation and index of the administrative rules of 25 state 
agencies and 40 occupational licensing boards. Compilation and 
publication of the NCAC is mandated by G.S. 150B-21 . 18. 

The Code is divided into Titles and Chapters. Each state agency 
is assigned a separate title which is further broken down by 
chapters. Title 21 is designated for occupational 'licensing boards. 
The NCAC is available in two formats. 

(1) Single pages may be obtained at a minimum cost of 
two dollars and 50 cents ($2.50) for 10 pages or less, 
plus fifteen cents ($0.15) per each additional page. 
Requests for pages of rules or volumes of the NCAC 
should be directed to the Office of Administrative 
Hearings. 

(2) The full publication and supplement service is printed 
and distributed by Barclays Law Publishers. It is 
available in hardcopy, CD-ROM and diskette format. 
For subscription information, call 1-800-888-3600. 

CITATION TO THE NORTH CAROLINA REGISTER 

The North Carolina Register is cited by volume, issue, page 
number and date. 10:01 NCR 1-67, April 3, 1995 refers to 
Volume 10, Issue 1, pages 1 through 67 of the North Carolina 
Register issued on April 3, 1995. 



FOR INFORMATION CONTACT: Office of Administrative Hearings. ATTN: Rules Division. PO Drawer 27447, Raleigh, 
NC 27611-7447, (919) 733-2678, FAX (919) 733-3462. 



NORTH CAROLINA 




IN THIS ISSUE 



EXECUTIVE ORDER 

Executive Order 77 . 



Volume 1 O, Issue 5 



June 1 , 1 995 



This issue contains documents officially 
filed through May 17, 1995. 



Office of Administrative Hearings 

Rules Division 

424 North Blount Street (27601) 

PO Drawer 27447 

Raleigh, NC 27611-7447 

(919) 733-2678 

FAX (919) 733-3462 



Julian Mann III, Director 

James R. Scarcella Sr., Deputy Director 

Molly Masich, Director of APA Services 

Ruby Creech, Publications Coordinator 

Teresa Kilpatrick, Editorial Assistant 

Jean Shirley, Editorial Assistant 



297 



II. IN ADDITION 

Voting Rights Act 



298 - 299 



III. PROPOSED RULES 
Commerce 

Credit Union Division 300-301 

Environment, Health, and Natural Resources 

Environmental Management Commission 301 - 305 

Health: Epidemiology 305-306 

Justice 

Alarm Systems Licensing Board 301 

Secretary of State 

Securities Division 306 - 312 

IV. RRC OBJECTIONS 313-315 



V. CONTESTED CASE DECISIONS 

Index to ALJ Decisions 316-323 

Text of Selected Decisions 
94 DOJ 1710 324-329 

VI. CUMULATIVE INDEX 331-335 



NORTH CAROLINA REGISTER 

Publication Schedule 

(November 1994 - September 1995) 



Volume 
and 
Issue 

Number 


Issue 
Date 


Last Day 
for Fil- 
ing 


Last Day 
for Elec- 
tronic 
Filing 


Earliest 

Date for 

Public 

Hearing 

15 days 

from 

notice 


* End of 

Required 

Comment 

Period 

30 days 

from 

notice 


Last Day 

to Submit 

to RRC 


** Earliest 

Effective 

Date 


9:15 


11/01/94 


10/11/94 


10/18/94 


11/16/94 


12/01/94 


12/20/94 


02/01/95 


9:16 


11/15/94 


10/24/94 


10/31/94 


11/30/94 


12/15/94 


12/20/94 


02/01/95 


9:17 


12/01/94 


11/07/94 


11/15/94 


12/16/94 


01/03/95 


01/20/95 


03/01/95 


9:18 


12/15/94 


11/22/94 


12/01/94 


12/30/94 


01/17/95 


01/20/95 


03/01/95 


9:19 


01/03/95 


12/08/94 


12/15/94 


01/18/95 


02/02/95 


02/20/95 


04/01/95 


9:20 


01/17/95 


12/21/94 


12/30/94 


02/01/95 


02/16/95 


02/20/95 


04/01/95 


9:21 


02/01/95 


01/10/95 


01/18/95 


02/16/95 


03/03/95 


03/20/95 


05/01/95 


9:22 


02/15/95 


01/25/95 


02/01/95 


03/02/95 


03/17/95 


03/20/95 


05/01/95 


9:23 


03/01/95 


02/08/95 


02/15/95 


03/16/95 


03/31/95 


04/20/95 


06/01/95 


9:24 


03/15/95 


02/22/95 


03/01/95 


03/30/95 


04/17/95 


04/20/95 


06/01/95 


10:1 


04/03/95 


03/13/95 


03/20/95 


04/18/95 


05/03/95 


05/22/95 


07/01/95 


10:2 


04/17/95 


03/24/95 


03/31/95 


05/02/95 


05/17/95 


05/22/95 


07/01/95 


10:3 


05/01/95 


04/07/95 


04/17/95 


05/16/95 


05/31/95 


06/20/95 


08/01/95 


10:4 


05/15/95 


04/24/95 


05/01/95 


05/30/95 


06/14/95 


06/20/95 


08/01/95 


10:5 


06/01/95 


05/10/95 


05/17/95 


06/16/95 


07/03/95 


07/20/95 


09/01/95 


10:6 


06/15/95 


05/24/95 


06/01/95 


06/30/95 


07/17/95 


07/20/95 


09/01/95 


10:7 


07/03/95 


06/12/95 


06/19/95 


07/18/95 


08/02/95 


08/21/95 


10/01/95 


10:8 


07/14/95 


06/22/95 


06/29/95 


07/31/95 


08/14/95 


08/21/95 


10/01/95 


10:9 


08/01/95 


07/11/95 


07/18/95 


08/16/95 


08/31/95 


09/20/95 


11/01/95 


10:10 


08/15/95 


07/25/95 


08/01/95 


08/30/95 


09/14/95 


09/20/95 


11/01/95 


10:11 


09/01/95 


08/11/95 


08/18/95 


09/18/95 


10/02/95 


10/20/95 


12/01/95 


10:12 


09/15/95 


08/24/95 


08/31/95 


10/02/95 


10/16/95 


10/20/95 


12/01/95 



This table is published as a public service, and the computation of time periods are not to be deemed binding 
or controlling. Time is computed according to 26 XCAC 2B .0103 and the Rules of Civil Procedure, Rule 6. 

* An agency must accept comments for at least 30 days after the proposed text is published or until the date 

of any public hearing, whichever is longer. See G.S. 150B-21. 2(f) for adoption procedures. 

** The "Earliest Effective Date" is computed assuming that the agency follows the publication schedule above, 

that the Rules Re\iew Commission approves the rule at the next calendar month meeting after submission, and 

that RRC delivers the rule to the Codifier of Rules five (5) business days before the 1st day of the next calendar 

month. 



Rewed 10/94 



EXECUTIVE ORDER 



EXECUTIVE ORDER NO. 77 
TRANSIT 2001 COMMISSION 

WHEREAS, Transportation 2001 is a comprehensive plan 
that was developed to provide the safest, most efficient and 
unified transportation system possible for North Carolina; 
and 

WHEREAS, public transportation provides mobility 
alternatives that promote a positive quality of life, enhancing 
employment, education, recreation, cultural and social 
opportunities in urban and rural areas; and 

WHEREAS, public transportation provides economic and 
environmental benefits; and 

WHEREAS, public transportation needs are extending 
beyond municipal boundaries, creating the need for regional 
cooperation; and 

WHEREAS, the roles and responsibilities of local and 
state governments in the provision of public transportation 
services need to be examined; and 

WHEREAS, public transit strategies can help mitigate the 
growth in urban congestion, reducing pressure on urban 
highways; and 

WHEREAS, the North Carolina Department of Transpor- 
tation is committed to working with local governments to 
assist in providing efficient and effective public transporta- 
tion services that are successful, productive and well 
utilized. 



NOW, THEREFORE, by the authority vested in me as 
Governor by the laws and Constitution of the State of North 
Carolina, IT IS ORDERED: 

Section L Establishment. 

The Transit 2001 Commission is hereby established to 
assist the Department of Transportation in developing a 
master plan for public transportation. All members shall be 
appointed by the Governor and shall serve at his pleasure. 
Vacancies shall be filled by the Governor. 

Section 2. Technical Committee. 

A Transit 2001 Technical Committee shall be created to 
provide input to the Transit 2001 Commission. All mem- 
bers shall be appointed by the Secretary of the North 
Carolina Department of Transportation and serve at his 
pleasure. 

Section 3. Master Plan. 



No later than fifteen months from the issuance of this 
Executive Order, the North Carolina Department of Trans- 
portation and the Transit 2001 Commission shall recommend 
to the Governor a master plan for public transportation. 

This Executive Order shall be effective immediately and 
shall remain in effect until the Commission submits the 
master plan to the Governor. 

Done in the Capital City of Raleigh, North Carolina, this 
the 2nd day of May, 1995. 



10:5 



NORTH CAROLINA REGISTER 



June 1, 1995 



297 



IN ADDITION 



This Section contains public notices that are required to be published in the Register or have been approved by the 
Codifier of Rules for publication. 



DLP:CMK:TGL:jdp 
DJ 166-012-3 
95-0590 



U.S. Department of Justice 

Civil Rights Division 

Voting Section 

P.O. Box 66128 

Washington, D.C. 20035-6128 



April 27, 1995 

David A. Holec, Esq. 

City Attorney 

P. O. Box 1388 

Lumberton, North Carolina 28359 

Dear Mr. Holec: 

This refers to two annexations [Ordinance Nos. 1486 and 1487 (1995)] and their designation to districts in the City 
of Lumberton in Robeson County, North Carolina, submitted to the Attorney General pursuant to Section 5 of the Voting 
Rights Act of 1965, as amended, 42 U.S.C. 1973c. We received your submission on March 2, 1995. 

The Attorney General does not interpose any objection to the specified changes. However, we note that Section 
5 expressly provides that the failure of the Attorney General to object does not bar subsequent litigation to enjoin the 
enforcement of the changes. See the Procedures for the Administration of Section 5 (28 C.F.R. 51.41). 



Sincerely, 

Deval L. Patrick 

Assistant Attorney General 
Civil Rights Division 



By: 



Elizabeth Johnson 
Acting Chief, Voting Section 



298 



NORTH CAROLINA REGISTER 



June 1, 1995 



10:5 



IN ADDITION 



U.S. Department of Justice 

Civil Rights Division 

DLP:GS:JSS:jdp Voting Section 

DJ 166-012-3 P.O. Box 66128 

95-0771 Washington, D.C. 20035-6128 

May 12, 1995 

Laurence S. Graham, Esq. 

Interim City Attorney 

P. O. Box 7207 

Greenville, North Carolina 27835-7207 

Dear Mr. Graham: 

This refers to 20 annexations [Ordinance Nos. 92, 95-97, 115-119, 130, 148-152, 159-160 (1994), and 3, 4, and 
14 (1995)] and their designation to districts of the City of Greenville in Pitt County, North Carolina, submitted to the 
Attorney General pursuant to Section 5 of the Voting Rights Act of 1965, as amended, 42 U.S.C. 1973c. We received your 
submission on March 15, 1995. 

The Attorney General does not interpose any objection to the specified changes. However, we note that Section 
5 expressly provides that the failure of the Attorney General to object does not bar subsequent litigation to enjoin the 
enforcement of the changes. See the Procedures for the Administration of Section 5 (28 C.F.R. 51.41). 

Sincerely, 

Deval L. Patrick 

Assistant Attorney General 

Civil Rights Division 

By: 

Elizabeth Johnson 
Acting Chief, Voting Section 



10:5 NORTH CAROLINA REGISTER June 1, 1995 299 



PROPOSED RULES 



TITLE 4 - DEPARTMENT OF COMMERCE 



Notice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina Department of 
Commerce, Credit Union Division intends to amend rule 
cited as 4 NCAC 6C .0203. 

Proposed Effective Date: September 1, 1995. 

A Public Hearing will be conducted at 10:00 a. m. on June 
19, 1995 at the North Carolina Credit Union Division, 1110 
Navaho Drive, Suite 300, Raleigh, NC 27609. 

Reason for Proposed Action: To maintain parity for state 
chartered credit unions with Federally chartered credit 
unions, and to maintain consistency with our approval 
process for new charters being approved or disapproved in 
conformity with criteria and policies set out in Chapter 1 of 
the National Credit Union Administration 's Interpretative 
Ruling and Policy Statement 94-1. In order to protect the 
safety and soundness of state chartered credit unions, the 
Administrator must have the authority to deviate from IRPS 
94-1 where deemed appropriate. 

Comment Procedures: Any interested person may present 
his/her comments either in writing prior to or at the hearing 
or orally at the hearing, for a maximum often minutes. Any 
person may request information by writing or calling Mr. 
Antonio Knox, Credit Union Division, 1110 Navaho Drive, 
Suite 300, Raleigh, NC 27609, Telephone (919) 850-2929. 

Fiscal Note: This Rule does not affect the expenditures or 
revenues of local government or state funds. 

CHAPTER 6 - CREDIT UNION DIVISION 

SUBCHAPTER 6C - CREDIT UNIONS 

SECTION .0200 - ORGANIZATION OF 
CREDIT UNIONS 

.0203 FIELDS OF MEMBERSHIP 

(a) — Parity, — To preserv e and protect th e w e lfare of stat e 
chartered or e dit union, th e Administrator may approve fi e ldo 
of membership and allow state chartered credit unions tho 
same latitude with rogard to membership limitations and 
restrictions as io availabl e to f e derally ohart e r e d oredit 
unions. 

(k) — New Charters . — Tho fiold(s) of membership of an 
applicant for a now credit union shall bo reviewed and 
approved or disapprov e d in conformity with orit e ria and 
polioi e e s e t out in Chapt e r 1 of the National Cr e dit Union 
Administration's Interpretative Ruling and Policy Statement 
8 9 1, entitled CHARTERING AND FIELD OF MEMBER 
SHIP POLICY, whioh or e adopt e d by r e f e r e no e pursuant to 
G.S. 150B 14(o). 



(c) Expansion Requests. Requ e sts for expanded multiple 
fi e lds of m e mb e rship for e xisting or e dit unions shall bo 
review e d and approv e d or disapprov e d in oonformity with 
criteria and policioe sot out in Chapter 1, Part 2, pages 
2 312. 4 5 to 2 312.56 of tho National Credit Union Adminis 
tration'o Int e rpr e tiv e Ruling and Polioy Stat e m e nt 8 9 1, 
e ntitl e d CHARTERING AND FIELD OF MEMBERSHIP 
POLICY (Rol. 20 2/90 Pub. 161). which are adopted by 
reference pursuant to G.S. 150B 14(c). 

(d) In allowing an e xpansion of th e fi e ld of membership, 
any ouoh oredit union would b e bound by membership 
limitations or restrictions contained in its charter or bylaws 
as amended and approved by tho Administrator. 

(a) Purpose. Every credit union chartered under the laws 
of this state must adopt bylaws containing a section defining 
its field of membership. The Administrator is required to 
approve that definition of the field of membership and any 
subsequent changes to it and will do so according to the 
policy and guidelines set forth in this Rule. 

fb) Parity. In order to preserve and protect the welfare 
of state chartered credit unions, the Administrator, to the 
fullest extent feasible, intends to allow state chartered credit 
unions the same degree of latitude and flexibility in defining 
the field of membership as is allowed federally chartered 
credit unions by the National Credit Union Administration. 

(c) New Charter Applications. Generally, the Adminis- 
trator shall evaluate and either approve or disapprove the 
definition of the field of membership contained in the 
bylaws of a credit union seeking to be chartered in this state 
on the basis of the applicable criteria described in the 
National Credit Union Administration's Interpretive Ruling 
and Policy Statement 94-1. adopted May 12, 1994. ("IRPS 
94-1"); provided, however, that the Administrator may, in 
his sole discretion, disregard, modify or expand the applica- 
tion of those criteria as he deems appropriate. 

(d) Changes to Field of Membership. Generally, the 
Administrator shall evaluate and either approve or disap- 
prove a proposed change in the definition of the field of 
membership contained in the bylaws of a credit union 
chartered in this state on the basis of the criteria described 
in IRPS 94-1; provided however, that the Administrator 
may in his sole discretion disregard, modify or expand the 
application of those criteria as he deems appropriate. 

(e) Immediate Family Members. Each credit union shall 
include in its bylaws a list of those individuals who by 
virtue of a close relationship to the primary members of the 
common bond group are considered "immediate family" and 
are included in the field of membership of the credit union. 
Since the definition of "immediate family" is a part of the 
credit union's bylaws, it is subject to prior approval by the 
Administrator of Credit Unions. 

(fj Multiple Groups in the Field of Membership. A credit 
union may have within its field of membership a collection 
of distinct occupational or associational common bonds. 
Each such group with its own common bond must be within 
the credit union's operational area. A credit union's 
operational area is that geographic area which, as deter- 



300 



NORTH CAROLINA REGISTER 



June 1, 1995 



10:5 



PROPOSED RULES 



mined by the Administrator in his sole discretion, reason- 
ably and effectively may be served by the Service capabili- 
ties and/or service facilities of the credit union. Service 
facilities include full service branches and shared service 
facilities. 

(g) Forms. Forms prescribed in IRPS 94.1 for use by 
federal credit unions may be used by state chartered credit 
unions requesting approval by the Administrator of bylaw 
amendments involving field of membership changes. 

(h) Notice of Criteria Changes. In those instances where 
the Administrator elects to deviate in any manner from the 



field of membership criteria described in IRPS 94-1, the 
Administrator shall inform the affected credit union(s) in 
writing of the change so that the credit union will have a 
reasonable o pportunity to comply with the modified criteria. 

Statutory Authority G.S. 54-109.1; 54-109. 2(e); 54-109.3(3); 
54-109.4; 54-109.11(3); 54-109.12; 54-109.21(25); 
54-109.22. 



TITLE 12 - DEPARTMENT OF JUSTICE 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the N.C. Alarm Systems Licensing 
Board intends to amend rule cited as 12 NCAC 11 .0210. 

Temporary: This Rule was filed as a temporary rule 
effective May 18, 1995 for a period of 180 days or until the 
permanent rule becomes effective, whichever is sooner. 

Proposed Effective Date: September 1, 1995. 

A Public Hearing will be conducted at 2:00 p. m. on June 
20, 1995 at the State Bureau of Investigations , Conference 
Room, 3320 Old Garner Road, Raleigh, NC 27626. 

Reason for Proposed Action: The Alarm Systems Licensing 
Board's rules require an alarm systems business to maintain 
an individual licensed by the Board of Electrical Contrac- 
tors. However, the Board of Electrical Contractors has just 
notified the Alarm Board that individuals experienced in 
burglar alarm installation will no longer be able to take the 
Electrical Contractors exam if the applicant has only burglar 
alarm installation experience. Therefore, the Alarm Board 
is providing an alternative for all who don 's qualify for the 
electrical test. 

Comment Procedures: Interested persons may present their 
views either orally or in writing at the hearing. The Record 
of Hearing will be open for receipt of written comments 
through July 3, 1995 on this Rule. Written comments must 
be delivered to the Alarm Systems Licensing Board, 3320 
Old Garner Road, Raleigh, NC 27626. 

Fiscal Note: This Rule does not affect the expenditures or 
revenues of local government or state funds. 



CHAPTER 11 - NORTH CAROLINA ALARM 
SYSTEMS LICENSING BOARD 

SECTION .0200 - PROVISIONS FOR LICENSEES 

.0210 ELECTRICAL CONTRACTING LICENSE 
REQUIREMENTS 

(a) Each firm, association, corporation, department, 
division, or branch office required to be licensed pursuant 
to G.S. 74D-2(a) must maintain at all times a licensee or 
registered employee who holds a license for either a SP-LV, 
limited, intermediate or unlimited examination as adminis- 
tered by the North Carolina Board of Examiners of Electri- 
cal Contraotoro. Contractors, or has passed an electrical test 
approved by the Board. Pursuant to 12 NCAC 11 .0206, 
each firm, association, corporation, department, division, or 
branch office must maintain in its records a copy of the 
licensee's or registered employee's Electrical Contractors 
License or a copy of die certification of test completion . In 
the event the licensee holding the electrical contractor's 
license or individual who has passed the electrical test given 
by the Board ceases to perform his duties as th e e l e ctrical 
contractor Iio e ns ee, the business entity shall notify the Board 
in writing within 10 working days. The business entity 
must obtain a substitute electrical contractor licensee or have 
an employee pass the electrical test given by the Board 
within 30 days after the original electrical contract licensee 
or individual who has passed the test ceases to serve. 

(b) A licensee or registered employee possessing the 
electrical test certificate must complete six contact hours of 
continuing education per year provided by course sponsors 
on the Board of Examiners of Electrical Contractors 
a pproved sponsor list. For purposes of this Section, the 
continuing education requirements for maintaining the 
electrical license or electrical certificate is set forth in 21 
NCAC 18B .1101 through .1108. 

Statutory Authority G.S. 74D-2(a); 74D-5. 



TITLE 15A - DEPARTMENT OF ENVIRONMENT, HEALTH, AND NATURAL RESOURCES 



N 



otice is hereby given in accordance with G.S. 150B-21.2 that the EHNR - Environmental Management Commission 
intends to amend rule cited as 15 A NCAC 2B .0304. 



10:5 



NORTH CAROLINA REGISTER 



June 1, 1995 



301 



PROPOSED RULES 



Proposed Effective Date: November 1, 1995. 

A Public Hearing will be conducted at 7:00 p.m. on June 20, 1995 at the Avery County Middle School (Cafeteria), Avery 
High School Road, Newland, NC. 

Reason for Proposed Action: 

North Toe River - French Board River Basin 

NORTH CAROLINA ENVIRONMENTAL MANAGEMENT COMMISSION 

ANNOUNCEMENT OF A PUBLIC HEARING TO RECLASSIFY 
THE NORTH TOE RIVER WATERSHED IN AVERY AND MITCHELL COUNTIES 

A public hearing will be held by the N.C. Department of Environment, Health and Natural Resources on behalf of the 
Environmental Management Commission. The Department seeks public comment on the proposed reclassification of a 
portion of the North Toe River watershed that is to be used by the Town of Spruce Pine for drinking water supply purposes. 
Changes in stream classifications can affect activities in and adjacent to these waters. Local governments with land use 
authority in water supply watersheds are required to develop, implement and enforce ordinances that comply with North 
Carolina Water Supply Watershed Protection Rules. 

The first section of this announcement will discuss the area affected by the current WS-IU Classification and the changes 
that are being proposed. The second section will provide a summary of the requirements associated with the current WS-III 
classification and the proposed WS-IV reclassification. The last section will provide information on the public hearing and 
how to submit comments. 

IMPORTANT NOTE: At the time of this publication the Environmental Management Commission is considering 
modifications to the Water Supply Watershed Protection Rules. The proposed modifications are designed to make the 
program more flexible for local governments to administer. 

Proposed Classification Change 

North Toe River (French Broad River Basin) 

Affected Area: 

The North Toe River, including tributaries, is currently classified as WS-m and WS-IU Trout from its source to 
a point 0.5 miles upstream of Banjo Branch (just upstream of the Town of Spruce Pine). The North Toe River, 
and a section of Banjo Branch, is classified as WS-IU Trout CA (Critical Area) from a point 0.5 miles upstream 
of Banjo Branch to a point 0.2 miles downstream of Banjo Branch where a water supply intake for the Town of 
Spruce Pine had initially been intended. 

Proposed Change: 

The proposal is to reclassify portions of the North Toe River and its tributaries from Classes WS-IU, WS-IU Trout, 
and WS-IU Trout CA (Critical Area) to Classes C, C Trout. WS-IV, WS-IV Trout and WS-IV Trout CA. This 
proposal would remove the land use requirements associated with water supply protection for the section of the 
North Toe River, including tributaries, from its source to a point 0.2 miles upstream of Birchfield Creek. 
Downstream of this point to a point 0.5 miles upstream of U.S. Highway 19, the North Toe River, including 
tributaries, would be classified as WS-IV. From this point to U.S. Highway 19, a WS-IV Trout CA is applicable. 

Local Governments with Land Use Authority under the Current WS-III Classification: 
Avery and Mitchell Counties, and the Towns of Newland and Sugar Mountain. 

Local Governments with Land Use Authority under the Proposed WS-IV Classification: 
Avery and Mitchell Counties. 

Summary of Requirements 

The following chart summarizes the requirements related to the WS-HI water supply classification which are currently in 

302 NORTH CAROLINA REGISTER June 1, 1995 10:5 



I 



PROPOSED RULES 



place. These are the major provisions of the water supply regulation (15A NCAC 2B .0104, .0202 and .021 1); to review 
all of them, write or call the contact person listed below for more information. The following requirements are currently 
applicable to the North Toe River and its tributaries from its source to the water supply intake that was to be located just 
upstream of the Town of Spruce Pine, North Carolina. 



Requirements for a WSTTJ Classification 



Development Criteria 







W/O Engineered 


W/Engineered 








Wastewater 


Stormwater, 


Stormwater, 


5%/70% 


Agriculture 




Dischargers 


Low Density Opt. 


High Density Opt. 


Provision 


BMPs 


Critical Area 


General 


ldu*/acre or up to 


12-30% built upon 


Not 


Required (1) 




Permits 


12% built upon 
area 


area 


Allowed 




Balance of 


Domestic & 


2du*/acre or up to 


24-50% built upon 


Allowed 


Not 


Watershed 


Non-process 
industrial 


24% built upon 
area 


area 




Required (1) 



The following requirements are proposed to be applicable to the North Toe River and tributaries from a point 0.3 miles 
upstream of Birchfield Creek downstream to U.S. Highway 19 where a water supply intake for the Town of Spruce Pine 
is to be located. 

Requirements for a WS-IV Classification 



Development Criteria 
W/O Engineered W/Engineered 





Wastewater 


Stormwater, 


Stormwater, 


5%/70% 


Agriculture 




Dischargers 


Low Density Opt. 


High Density Opt. 


Provision 


BMPs 


Critical Area 


Domestic & 


2du*/acre or up to 


24-50% built upon 


Not 


Required (1) 




Industrial (2) 


24% built upon 
area (3) 


area (3) 


Allowed 




Protected 


Domestic & 


2du*/acre or up to 


24-70% built upon 


Not 


Not 


Area 


Industrial 


24% built upon 
area (3,4) 


area (3,4) 


Allowed 


Required (1) 



The following Notes are applicable to both of the above classifications. 
Notes: 

• * du means dwelling unit. 

• Critical area is one-half mile and draining to water supply intake. 

• Requirements applicable to new development. Existing single family lots are exempt. 

• Buffers for development activities required along all perennial waters; 30 foot buffer for low density and 
100 foot buffer for high density development. 

• Wet detention basins are required with the high density option. Local governments will assume ultimate 

responsibility for the operation and maintenance of these stormwater control devices. 

• (1) All agricultural activities are subject to provisions of the Food Security Act of 1985 and the Food, 

Agriculture, Conservation and Trade Act of 1990. A ten foot vegetated buffer or equivalent control as 
determined by the Soil and Water Conservation Commission is required in the critical area. Animal 
operations which are deemed permitted under 15A NCAC 2H .0217 are allowed in all water supply 
watersheds. 

• (2) New industrial process wastewater discharges are allowed but will require additional treatment 
requirements. 

• (3) Applies only to projects requiring a Sediment/Erosion Control Plan. 

• (4) 1/3 acre lot or 36% built upon area is allowed for projects without a curb and gutter street system. 



10:5 



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303 



PROPOSED RULES 



The purpose of the development density controls, the wastewater discharge requirements and the agricultural 
management practices are to prevent the degradation of the water quality for use as a drinking water supply from 
pollutant impacts. 

The Water Supply Watershed Protection Rules, which includes the proposed WS-IV reclassification, requires a 10 foot 
vegetated buffer (or equivalent control as determined by the Soil and Water Conservation Service) for Christmas tree 
farming activities in the critical area. There is no mandatory requirement for fencing of livestock from surface waters 
in the water supply watershed. 

Public Hearing Information 

PURPOSE: The purpose of this hearing and the written comment period is to receive comments on 

the proposed reclassification from interested people. The written comment period will be 
open until July 3, 1995. The EMC is interested in comments in favor of, opposed to, or 
alternatives to the proposed changes. 

The EMC may make some changes in final rules without renotice and rehearing, as long 
as the adopted rules do not differ substantially from the proposed rules. The EMC may 
adopt final management requirements, rules and classifications that are more or less 
stringent than those being noticed. (See NCGS 150B 21.2(f) for this authority.) The 
EMC must determine that the final adopted rules are not substantially different from 
the proposed rules. All interested and potentially affected persons are strongly 
encouraged to read the entire announcement and supporting information and make 
comments on the proposal presented. The proposed effective date for final rule 
amendments is November 1, 1995. 

Comment Procedures: You may submit comments, statements, data and other information in writing prior to, during or 
after the hearing but no later than July 3, 1995. You may also present verbal comments at the hearing. The Hearing Officer 
may limit the length of time that you may speak so that all those who wish to speak may have an opportunity to do so. We 
encourage you to submit written comments. You may obtain further explanations and details of the proposed reclassification 
by writing or calling: 

Steve Zoufaly 

DEHNR/Division of Environmental Management 

PO Box 29535 

Raleigh, NC 27626-0535 

(919) 733-5083, Ext. 566 

Fiscal Note: This Rule does not affect the expenditures or revenues of local government or state funds. 

CHAPTER 2 - ENVIRONMENTAL MANAGEMENT 

SUBCHAPTER 2B - SURFACE WATER STANDARDS MONITORING 

SECTION .0300 - ASSIGNMENT OF STREAM CLASSIFICATIONS 

.0304 FRENCH BROAD RIVER BASIN 

(a) Places where the schedules may be inspected: 
(1) Clerk of Court: 
Avery County 
Buncombe County 
Haywood County 
Henderson County 
Madison County 
Mitchell County 
Transylvania County 
Yancey County 



304 NORTH CAROLINA REGISTER June 1, 1995 10:5 



PROPOSED RULES 



(2) North Carolina Department of Environment, Health, and Natural Resources 
Asheville Regional Office 
Interchange Building 
59 Woodfin Place 
Asheville, North Carolina 

(b) Unnamed Streams. Such streams entering Tennessee will be classified "B." 

(c) The French Broad River Basin Schedule of Classifications and Water Quality Standards was amended effective: 

(1) September 22, 1976; 

(2) March 1, 1977; 

(3) August 12, 1979; 

(4) April 1, 1983; 

(5) August 1, 1984; 

(6) August 1, 1985; 

(7) February 1, 1986; 

(8) May 1, 1987; 

(9) March 1, 1989; 

(10) October 1, 1989; 

(11) January 1, 1990; 

(12) August 1, 1990; 

(13) August 3, 1992; 

(14) October 1, 1993. 

(d) The Schedule of Classifications and Water Quality Standards for the French Broad River Basin was amended 
effective March 1, 1989 as follows: 

(1) Cataloochee Creek (Index No. 5-41) and all tributary waters were reclassified from Class C-trout and Class 
C to Class C-trout ORW and Class C ORW. 

(2) South Fork Mills River (Index No. 6-54-3) down to Queen Creek and all tributaries were reclassified from 
Class WS-I and Class WS-III-trout to Class WS-I ORW and Class WS-III-trout ORW. 

(e) The Schedule of Classifications and Water Quality Standards for the French Broad River Basin was amended 
effective October 1, 1989 as follows: Cane River (Index No. 7-3) from source to Bowlens Creek and all tributaries 
were reclassified from Class C trout and Class C to Class WS-III trout and Class WS-III. 

(f) The Schedule of Classifications and Water Quality Standards for the French Broad River Basin was amended 
effective January 1, 1990 as follows: North Toe River (Index No. 7-2) from source to Cathis Creek (Christ Branch) 
and all tributaries were reclassified from Class C trout and Class C to Class WS-III trout and Class WS-III. 

(g) The Schedule of Classifications and Water Quality Standards for the French Broad River Basin was amended 
effective August 3, 1992 with the reclassification of all water supply waters (waters with a primary classification of 
WS-I, WS-II or WS-IH). These waters were reclassified to WS-I, WS-II, WS-III, WS-IV or WS-V as defined in the 
revised water supply protection rules, (15A NCAC 2B .0100, .0200 and .0300) which became effective on August 
3, 1992. In some cases, streams with primary classifications other than WS were reclassified to a WS classification 
due to their proximity and linkage to water supply waters. In other cases, waters were reclassified from a WS 
classification to an alternate appropriate primary classification after being identified as downstream of a water supply 
intake or identified as not being used for water supply purposes. 

(h) The Schedule of Classifications and Water Quality Standards for the French Broad River Basin was amended 
effective October 1, 1993 as follows: Reasonover Creek [Index No. 6-38-14-(l)] from source to Reasonover Lake 
Dam and all tributaries were reclassified from Class B Trout to Class WS-V and B Trout, and Reasonover Creek 
[Index No. 6-38-14-(4)] from Reasonover Lake Dam to Lake Julia Dam and all tributaries were reclassified from Class 
C Trout to Class WS-V Trout. 

(i) The Schedule of Classifications and Water Quality Standards for the French Broad River Basin was amended effective 
November j^ 1995 as follows: North Toe River [Index Numbers 7-2-(0.5) and 7-2-(37.5)l from source to a point 0.2 miles 
downstream of Banjo Branch, including tributaries, has been reclassified from Class WS-III, WS-HI Trout and WS-III Trout 
CA (critical area) to Class WS-IV Trout. WS-IV, WS-IV Trout CA, and C Trout. 



Statutory Authority G.S. 143-214.1; 143-215.1; 143-215. 3(a)(1). 



****************** 



Notice is hereby given in accordance with G.S. 
150B-21. 2 that the EHNR intends to amend rule cited 



10:5 NORTH CAROLINA REGISTER June 1, 1995 305 



PROPOSED RULES 



as 15 A NCAC 19C .0206. 



Proposed Effective Date: October 1, 1995. 

A Public Hearing will be conducted at 1:00 p.m. on June 
22, 1995 at the Archdale Building, Ground Floor Hearing 
Room, 512 N. Salisbury St. Raleigh, NC. 

Reason for Proposed Action: The Department proposes an 
increase in the fee for medical exams in the program to 
offset an anticipated reduction in appropriations. This rule 
increases the fee that the Department charges to industry by 
an amount sufficient to cover the anticipated reduction. 

Comment Procedures: All persons interested in this matter 
are invited to attend the public hearing. Written comments 
may be presented at the public hearing or submitted to Dan 
Baucom, Division of Epidemiology, Occupational Health 
Section, PO Box 27687, Raleigh, NC 27611-7687. All 
written comments must be received by July 3, 1995. 
Persons who wish to speak at the hearing should contact Mr. 
Baucom at (919) 715-3563. Persons who call in advance of 
the hearing will be given priority on the speaker's list. Oral 
presentation lengths may be limited depending on the 
number of people that wish to speak at the public hearing. 

Fiscal Note: This Rule affects the expenditure or distribu- 
tion of State funds subject to the Executive Budget Act, 
Article 1 of Chapter 143. 

CHAPTER 19 - HEALTH: EPIDEMIOLOGY 

SUBCHAPTER 19C - OCCUPATIONAL HEALTH 

SECTION .0200 - DUSTY TRADES PROGRAM 

.0206 FEES FOR MEDICAL EXAMS IN DUSTY 
TRADES 

(a) Employers whose employees receive periodic radio- 
graphs from the Department's mobile x-ray unit pursuant to 
G.S. 97-60 will be charged a fee for each employee 
x-rayed. The fee will be twelve dollars ($12.00) fifty 
dollars ($50.00) per employee. 

(b) Employers will be charged a fee for each employee 
screened by the chest consultant pursuant to G.S. 97-60. 
The fee for this will be five dollars ($5.00) per x-ray. 

Statutory Authority G.S. 97-73 (b). 



TrTLE 18 - SECRETARY OF STATE 

Notice is hereby given in accordance with G.S. 
I50B-21.2 that the N.C. Department of the Secretary 
of State intends to amend rules cited as 18 NCAC 6 . 1205 - 
.1206, .1208, .1302 - .1305, .1313 with changes from the 



proposed text noticed in the North Carolina Register. 
Volume 9 , Issue 9, pages 616 - 628. 

Proposed Effective Date: September 1, 1995. 



Reason for Proposed Action: 

business in capital formation. 



To further assist small 



Comment Procedures: Interested persons may make 
comments, in writing, by mail addressed to Mr. Gene Cella, 
Administrator, Securities Division, N.C. Department of the 
Secretary of State, 300 N. Salisbury Street, Raleigh, NC 
27603-5909. The comment period will end on July 3, 1995. 

Editor's Note: An agency may not adopt a rule that differs 
substantially from the text of a proposed rule published in 
the Register, unless the agency publishes the text of the 
proposed different rule and accepts comments on the new 
text for at least 30 days after the publication of the new text. 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of local government or state funds. 

CHAPTER 6 - SECURITIES DIVISION 

SECTION .1200 - EXEMPTIONS 

.1205 LIMITED OFFERINGS PURSUANT TO 
G.S. 78A-17(9) 

(a) Any issuer relying upon the exemption provided by 
G.S. 78A-17(9) in connection with an offering of a security 
made in reliance upon Rule 505 or Rule 506 of Regulation 
D promulgated by the Securities and Exchange Commission 
under the Securities Act of 1933, as amended, 17 C.F.R. 
230.505 (1982) and 17 C.F.R. 230.506 (1982) (and as 
subsequently amended) shall comply with the provisions of 
Rules .1206, .1207 and .1208 of this Section; provided that 
such compliance shall not be required if the security is 
offered and sold only to persons who will be actively 
engaged, on a regular basis, in the management of the 
issuer's business; and provided further, that compliance with 
provisions of Paragraphs (a), (b), and (c) of Rule .1208 of 
this Section shall not be required if the security is offered to 
not more than five individuals plus an unlimited number of 
persons excluded from the calculation of purchasers in Rule 
501(e)(l)(iv) of Regulation D, who reside in this State. 

(b) Any issuer relying upon the exemption provided by 
G.S. 78A-17(9) in connection with an offering of a dir e ot 
participation program security made solely in reliance upon 
an exemption from registration contained in Section 4(2) or 
Section 3(a)(ll) of the Securities Act of 1933, as amended, 
or made solely in reliance upon Rule 504 of Regulation D 
promulgated by the Securities and Exchange Commission 
under the Securities Act of 1933, as amended, 17 C.F.R. 
230.504 (1982), (and as subsequently amended), shall 
comply with the following conditions and limitations: 

(1) No commission, discount, finder's fee or other 



306 



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June 1, 1995 



10:5 



PROPOSED RULES 



similar remuneration or compensation shall be 
paid, directly or indirectly, to any person for 
effecting or attempting to effect purchases or 
sales of securities in s oliciting any prospective 
purchaser of the security sold to a rosidont of 
this State unless such person is either registered 
pursuant to G.S. 78A-36 or exempt from regis- 
tration thereunder or the issuer reasonably 
believes that such person is so registered or 
exempt therefrom. 

(2) In all sales of direct participation program 
securities, Real Estate Investment Trusts, and 
Limited Liability Companies, the provisions of 
Rule .1313 of this Chapter regarding registered 
offerings of direct participation program securi- 
ties. Real Estate Investment Trusts, and Limited 
Liability Companies shall be applicable. 

(3) Any prospectus or disclosure document used in 
offering the securities in this state shall disclose 
conspicuously the legend(s) required by the 
provisions of Rule . 1316 (a)(2) and (a)(3) of this 
Chapter. 

(4) Not less than 10 business days prior to any sale 
offer of the securities to a resident of this State 
State, which shall include but not bo limited to 
the roo e ipt by th e issuer, or any person aoting on 
the issu e r's b e half of a signed subscription 
agreement of, or the receipt of consideration 
from, a purchaser, the issuer shall file with the 
administrator, or cause to be so filed: 

(A) With offers made solely in reliance on 3(a)(l 1) 
or 4(2) of the Securities Act of 1933. a A 
statement signed by the issuer and acknowl- 
edged before a notary public or other similar 
officer: 
(i) identifying the issuer (including name, 
form of organization, address and tele- 
phone number); 
(ii) identifying the person(s) who will be 
offering and selling the securities in this 
State State, and their titles (and in the case 
of such persons other than the issuer and 
its officers, partners and employees, de- 
scribing their relationship with the issuer 
in connection with the transaction and the 
basis of their compliance with or exemp- 
tion from the requirements of G.S. 
78A-36) and describing any commissions, 
discounts, fees or other remuneration or 
compensation to be paid to such persons; 
(iii) containing a summary of the proposed 
offering including: 
(I) a description of the securities to be 

sold; 
(II) the name(s) of all general partners of 
an issuer which is a partnership and, 
with respect to a corporate issuer or 



any corporate general partner(s) of any 
issuer which is a partnership, the date 
and place of incorporation and the 
names of the directors and executive 
officers of such corporation(s); 

(III) the anticipated aggregate dollar amount 
of the offering; 

(IV) the anticipated required minimum in- 
vestment, if any, by each purchaser of 
the securities to be offered; 

(V) a brief description of the issuer's busi- 
ness and the anticipated use of the 
proceeds of the offering; and 
(VI) a list of the states in which the securi- 
ties are proposed to be sold; 

ftv) containing an undertaking to furnish to the 

administrator, upon written request, ovi 
d e no e of oompliane e with Subparagraphs 
(1), (2), and (3) of this Paragraph (b); and 
(iv) (v)containing an undertaking to furnish to 
the administrator, upon written request, a 
copy of any written document or materials 
used or proposed to be used in connection 
with the offer and sale of the securities; 

(B) A consent to service of process naming the 
North Carolina Secretary of State as service 
agent using the Uniform Consent to Service of 
Process (Form U-2) signed by the issuer and 
acknowledged before a notary public or other 
similar officer; and accompanied by a properly 
executed Corporate Resolution (Form U-2 A), 
if applicable; 

(C) A non-refundable filing fee in the amount of 
tw e nty fiv e dollars ($25.00) one-hundred fifty 
dollars ($150.00) , payable to the North Caro- 
lina Secretary of State. State; 

(D) A Notice of Completion of Offering/Final 
Sales Report in compliance with Rule .1315 of 
this Chapter as if Rule .1315 applied to offer- 
ings exempted under this Rule . 1205 of this 
Section; 

(E) A copy of any written document or materials 
proposed to be used in connection with the 
offer and sale of the securities to be sold must 
be filed at least 10 business days prior to the 
sale in North Carolina; 

(F) With offerings made solely in reliance on Rule 
504 of Regulation D, a form D (Notice of 
Sales of Securities Pursuant to Regulation 
D... and/or Uniform Limited Offering Exemp- 
tion). All parts of this form, including the 
Appendix, shall be completed. The Form D is 
to be signed by a person duly authorized to do 
so by_ the issuer, and shall be attached to a 
statement containing the supplemental informa- 
tion required by Paragraph (c) of Rule .1208. 

(5) Compliance with the provisions of Subparagraph 



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307 



PROPOSED RULES 



(b)(4) of this Rule shall not be required if the 
security is offered to not more than five individ- 
uals plus an unlimited number of persons ex- 
cluded from the calculation of purchasers of 
Rule 501(e)(l)(iv) of Regulation D who reside in 
this State. If tho issu e r io r e lying on th e e xolu 
oion from th e filing r e quir e m e nts for l e ss than 5 
offerees in North Carolina, then tho ioouor must 
submit an undertaking that tho offering meets tho 
suitability, minimum initial oash inv e stm e nt and 
logond requirements of tho Rul e s. — Issuers must 
also submit a twenty fivo dollar ($25.00) non 
refundable filing foe, a U 2, and a U 2A if 
appropriat e . 

(6) No exemption under this Rule .1205 is available 
for the offer or sale of securities if the issuer or 
any other person or entity to which Rule . 1205 
applies is disqualified pursuant to Rule . 1207 of 
this Section unless the administrator, upon 
application and a showing of good cause by the 
issuer, or such other person or entity, modifies 
or waives the disqualification. 

(7) Expenses shall be limited to 25% as calculated 
in Rule .1307(h) of this Chapter, as if Rule 
. 1307 were applicable to offerings exempted 
under this Rule . 1205 of this Section. 

(c) Neither the issuer nor any person acting on the 
issuer's behalf shall offer, offer to sell, offer for sale or sell 
the securities claimed to be exempt under G.S. 78A-17(9) 
by any means or any form of general solicitation or general 
advertising. For purposes of this Rule only, a notice given 
by an issuer that it proposes to make, is making, or has 
made an offering of securities not registered or required to 
be registered, either pursuant to federal or state law, shall 
not be deemed to offer any securities for sale if: 

(1) Such notice is not used for the purpose of condi- 
tioning the market in this state for any of the 
securities offered; 

(2) Such notice states that the securities offered will 
not be, or have not been registered under appli- 
cable federal or state law, and may not be 
offered or sold in North Carolina absent regis- 
tration or an applicable exemption from registra- 
tion requirements; 

(3) Such notice contains no more than the following 
additional information: 

(A) The name of the issuer; 

(B) The title, amount and basic terms of the secu- 
rities offered, the amount of the offering, if 
any, made by selling securities holders, the 
time of the offering and a brief statement of 
the manner and purpose of the offering without 
naming the underwriters; 

(C) Any statement or legend required by State or 
foreign law or administrative authority; and 

(4) Any notice contemplated by this Paragraph (c) 
may take the form of a news release or a written 



communication directed to security holders or 
employees, as the case may be, or other pub- 
lished statements. 

(d) The administrator may, by order, waive any condition 
of or limitation upon the availability of the exemption 
provided by G.S. 78A-17(9). 

(e) To continue the offering beyond one year from when 
the exemption filing was perfected with the Division, the 
issuer must submit a statement requesting renewal, a current 
Form D or statement filed pursuant to Part (h)(4)(A) of this 
Rule, and a twenty-five dollar ($25.00) fee. 

Statutory Authority G.S. 78A-17(9); 78A-49(a). 

.1206 LIMITED OFFERING EXEMPTION 
PURSUANT TO G.S. 78A-17(17) 

(a) Transactions made in reliance upon Rule 505 or Rule 
506 of Regulation D promulgated by the Securities and 
Exchange Commission under the Securities Act of 1933, as 
amended, 17 C.F.R. 230.505 (1982) and 17 C.F.R. 
230.506 (1982) (and as subsequently amended), including 
any offer or sale made exempt by application of Rule 
508(a), as made effective in Release No. 33-6389 and as 
amended in Release Nos. 33-6437, 33-6663, 33-6758, and 
33-6825, shall be exempt from the requirements of G.S. 
78A-24, provided there is compliance with the conditions 
and limitations of this Rule .1206 and Rules .1207 and 
.1208 of this Section. 

(1) No exemption under this Rule . 1206 is available 
for the offer or sale of securities if the issuer or 
any other person or entity to which Rule .1206 
applies is disqualified pursuant to Rule .1207 of 
this Section unless the administrator, upon 
application and a showing of good cause by the 
issuer, or such other person or entity, modifies 
or waives the disqualification. 

(2) No commission, discount, finder's fee or other 
similar remuneration or compensation shall be 
paid, directly or indirectly, to any person for 
effecting or attempting to effect purchases or 
sales of securities in soliciting any prospectivo 
purchaser of any security sold to a resident of 
this State in reliance upon the exemption pro- 
vided by this Rule .1206 unless such person is 
either registered pursuant to G.S. 78A-36 or 
exempt from registration thereunder or the issuer 
reasonably believes that such person is so regis- 
tered or exempt therefrom. 

(3) In all sales to those acoroditod investors defined 
in 17 C.F.R. 230.501(a)(5) who rosido in this 
Stat e ( e xc e pt sal e s to ouch accr e dit e d inv e stors 
mad e by or through a doalor r e gist e r e d und e r 
G.S. 78A 36) and in all salc3 to nonaccredited 
investors who reside in this State the issuer and 
any person acting on its behalf shall have rea- 
sonable grounds to believe and after making 
reasonable inquiry shall believe that one of the 



308 



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June 1, 1995 



10:5 



PROPOSED RULES 



following conditions is satisfied: 

(A) The investment is suitable for the purchaser 
upon the basis of the facts, if any, disclosed by 
the purchaser as to his/her other security 
holdings and as to his/her financial situation 
and needs. For the purpose of this condition 
only, it may be presumed that if the investment 
does not exceed 10 percent of the investor's 
net worth, it is suitable. 

(B) The purchaser, either alone or with his/her 
purchaser representative(s), has such knowl- 
edge and experience in financial and business 
matters that he/she is or they are capable of 
evaluating the merits and risks of the prospec- 
tive investments. 

(4) In all sales of direct participation programs, Real 
Estate Investment Trusts and Limited Liability 
Companies securities pursuant to the exemption 
provided by this Rule .1206, the provisions of 
Rule .1313 of this Chapter regarding registered 
offerings of direct participation programs, Real 
Estate Investment Trusts and Limited Liability 
Companies securities shall be applicable in 
addition to all other requirements of this Rule 
.1206. 

(5) Any prospectus or disclosure document used in 
this state in connection with an offer and sale of 
securities made in reliance upon the exemption 
provided by this Rule .1206 shall disclose con- 
spicuously the legend(s) required by the provi- 
sions of Rule .1316 (a)(2) and (a)(3) of this 
Chapter. 

(6) Nothing in the exemption provided by this Rule 
. 1206 is intended to or should be construed as in 
any way relieving the issuer or any person 
acting on behalf of the issuer from providing 
disclosure to prospective investors adequate to 
satisfy the antifraud provisions of the Act. 

(7) Transactions which are exempt under this Rule 
may not be combined with offers and sales 
exempt under any other rule or section of this 
Act; however, nothing in this limitation shall act 
as an election. Should for any reason, an offer 
and sale of securities made in reliance upon the 
exemption provided by this Rule .1206 fail to 
comply with all of the conditions hereof, the 
issuer may claim the availability of any other 
applicable exemption. 

(8) A failure to comply with a term, condition or 
requirement of Subparagraphs (a)(2) and (a)(3) 
of this Rule will not result in loss of the exemp- 
tion from the requirements of G.S. 78A-24 for 
any offer or sale to a particular individual or 
entity if the person relying on the exemption 
shows: 

(A) the failure to comply did not pertain to a term, 
condition or requirement directly intended to 



protect that particular individual or entity; and 

(B) the failure to comply was insignificant with 
respect to the offering as a whole; and 

(C) a good faith and reasonable attempt was made 
to comply with all applicable terms, conditions 
and requirements of Subparagraphs (a)(2) and 
(a)(3). 

Where an exemption is established only through 
reliance upon this Subparagraph (8) of this Rule, 
the failure to comply shall nonetheless be action- 
able by the administrator under G.S. 78A-47. 
(9) In any proceeding involving this Rule .1206, the 
burden of proving the exemption or an exception 
from a definition or condition is upon the person 
claiming it. 

(10) In view of the objective of this Rule . 1206 and 
the purpose and policies underlying the Act, this 
exemption is not available to any issuer with 
respect to any transaction which, although in 
technical compliance with this Rule .1206, is 
part of a plan or scheme to evade registration or 
the conditions or limitations explicitly stated in 
this Rule .1206 or Rules .1207 and . 1208 of this 
Section. 

(11) The administrator may, by order, waive any 
condition of or limitation upon the availability of 
the exemption provided by this Rule .1206. 

(12) The exemption provided by this Rule .1206 shall 
be known and may be cited as the "North Caro- 
lina Limited Offering Exemption. " 

(b) Pursuant to G.S. 78A-18, the administrator may by 
order deny or revoke the exemption provided by this Rule 
. 1206 with respect to a specific security or security transac- 
tion. 

Statutory Authority G.S. 78A-17(17); 78A-49(a). 

.1208 TRANSACTIONS EXEMPT UNDER 

RULE .1206: FILING REQUIREMENTS 

(a) Not less than 10 business days prior to any sale of a 
security sold in reliance upon the exemption provided by 
Rule . 1206 of this Section, Section which shall include but 
not b e limit e d to th e r e o e ipt by th e isou e r, or any person 
aoting on th e issu e r's b e half of a oignod oubooription 
agreement of, or the receipt of consideration from, a 
purchaser, the issuer shall file with the administrator, or 
cause to be so filed, the following: 

(1) A Form D (Notice of Sales of Securities Pursu- 
ant to Regulation D... and/or Uniform Limited 
Offering Exemption). All parts of this form, 
including the Appendix, shall be completed. 
The Form D is to be signed by a person duly 
authorized to do so by the issuer, and shall be 
attached to a statement containing the supple- 
mental information required by Paragraph (c) of 
this Rule .1208. 

(2) A copy of any written document or materials 



10:5 



NORTH CAROLINA REGISTER 



June 1, 1995 



309 



PROPOSED RULES 



proposed to be used in connection with the offer 
and sale of the securities to be sold, sold; pro 
vidod, — how e v e r, — if any suoh dooum e nto or 
materials aro not available to bo filed 10 busi 
nooo dayo prior to any sale of the - securities to a 
poroon who r e oid e o in thio Stat e , th e y ohall b e 
filed when availabl e , but, in any e v e nt, no lat e r 
than 5 buainoss dayo before any such sale. 
Supplements or amendments to any such written 
document or materials shall be filed within 5 
business days aft e r prior to delivery to any 
prospective purchaser of the securities. 

(3) A consent to service of process naming the 
North Carolina Secretary of State as service 
agent using the Uniform Consent to Service of 
Process (Form U-2) signed by the issuer and 
acknowledged before a notary public or similar 
officer; and accompanied by a properly executed 
Corporate Resolution (Form U-2A), if applica- 
ble. 

(4) A non-refundable filing fee in the amount of 
seventy five dollars ($75.00) one-hundred fifty 
dollars ($150.00) , payable to the North Carolina 
Secretary of State. 

(b) The issuer shall promptly file or caused to be filed 
with the administrator any amended Form D filed with the 
U.S. Securities and Exchange Commission in connection 
with the transaction. 

(c) To comply with Subparagraph (a)(4} of this Rule 
.1208, the issu e r ohall fil e with th e administrator a stat e m e nt 
sign e d by a person duly authorized to e x e out e suoh stat e 
mcnt on its behalf the issuer shall file a statement verified 
before a notary public and a copy of any power of attorney 
containing the following representations: 

(1) that the securities will be sold in reliance upon 
an exemption from the registration requirements 
of Section 5 of the Securities Act of 1933, as 
amended; 

(2) that, to the best of the issuer's knowledge, the 
issuer is not disqualified by the provisions of 
Rule . 1207 of this Section from relying upon the 
exemption provided by Rule .1206 of this Sec- 
tion; 

(3) that the issuer will furnish to the administrator, 
upon written request, evidence of compliance 
with Subparagraphs (1), (2), and (3) of Rule 
.1205(b) or Subparagraphs (2), (3) and (4) of 
Rule .1206(a) of this Section; 

(4) that all persons who will be selling the securities 
in this state are in compliance with or exempt 
from the requirements of G.S. 78A-36; aad 

(5) that the issuer will notify the administrator in 
writing of the names and titles of all officers, 
directors, partners, or employees of the issuer 
who will be engaged in the offer or sale of the 
securities in this 9tato. state; and Such notice to 
the administrator shall bo made prior to any 



offor of securities in this state . 
(6) that either no securities offerings have occurred 
in the last three years, or that information identi- 
fying such offerings is included. 

(d) Any filing pursuant to this Rule .1208 shall be 
amended by filing with the administrator such information 
and changes as may be necessary to correct any material 
misstatement or omission in the filing. 

(e) The provisions of this Rule .1208 shall not apply to 
offers or sales of a security made pursuant to Rule . 1206 of 
this Section if the security is offered to not more than five 
individuals plus an unlimited number of persons excluded 
from the calculation or purchasers in Rule 501(e)(1) of 
Regulation D who reside in this State. If th e issuer is 
relying on th e e xoluoion from the filing r e quirements for 
loss than five (5) offorcos in North Carolina, thon tho iosuor 
must submit an undertaking that tho offering moots the 
suitability, minimum initial oash inv e stm e nt and legend 
r e quirem e nts of th e Rul e s. — Issuers must also submit -a 
twenty five dollar ($25.00) non refundable filing foo, a U 2, 
and a U 2 A if appropriate. 

£fj The issuer must submit a statement requesting renewal 
along with a current Form D and a twenty-five dollar 
($25.00) fee if it wishes to continue the offering beyond one 
year from when the exemption filing was perfected with this 
office. 

(g) Expenses shall be limited to 25% as calculated in Rule 
.1307(b) of this Chapter, as if Rule .1307 were applicable 
to offerings exempted under this Rule .1208 of this Section. 

(h) The issue r shall promptly file a Notice of Completion 
of Offering/Final Sales Report in compliance with Rule 
.1315 of this Chapter. 

Statutory Authority G. S. 78A-17(I7); 78A-49(a). 

SECTION .1300 - REGISTRATION OF SECURITIES 

.1302 REGISTRATION BY COORDINATION 

(a) Application for registration by coordination shall be 
filed with the administrator using the Uniform Application 
To Register Securities (Form U-l). Documents necessary 
to establish eligibility for registration by coordination shall 
be attached. 

(b) Except as indicated in Paragraph (c) of Rule .1304 of 
this Section, an issuer of securities registered by coordina- 
tion must file for re-registration within 30 days prior to the 
expiration of the security's current registration. The request 
for re-registration must comply with all the requirements of 
G.S. 78A-26 and be accompanied by a report of sales to 
that date in North Carolina expressed in units and dollars. 

Statutory Authority G.S. 78A-26; 78A-49(a). 

.1303 REGISTRATION BY QUALIFICATION 

(a) Application for registration by qualification shall be 
filed with the administrator using the Uniform Application 
To Register Securities (Form U-l). Documents necessary 



310 



NORTH CAROLINA REGISTER 



June 1, 1995 



10:5 



PROPOSED RULES 



to establish eligibility for registration by qualification shall 
be attached. 

(b) As a condition to registration by qualification the 
applicant shall prepare a prospectus which shall, after 
approval by the administrator, be sent or given to each 
person to whom an offer is made before or concurrently 
with whichever of the following events first occurs: 

(1) the first written offer made to him (otherwise 
than by means of a public advertisement) by or 
for the account of the issuer or any other person 
on whose behalf the offering is being made, or 
by any underwriter or dealer who is offering 
part of an unsold allotment or subscription taken 
by him as a participant in the distribution; 

(2) the confirmation of any sale made by or for the 
account of any such person; 

(3) payment pursuant to any such sale; or 

(4) delivery of the security pursuant to any sale. 

(c) The prospectus requirement of Paragraph (b) of this 
Rule may be satisfied by the use of the NASAA Form U-7 
(Small Corporate Offerings Registration Form) (as found at 
CCH NASAA Reports 5057) if the use of that form is 
allowed by the instructions to Form U-7 for the securities 
offering being registered. 

(d) The applicant must submit, for review by the Admin- 
istrator, financial statements as of a date within four months 
prior to the filing of the registration. For offerings greater 
than five hundred thousand dollars ($500,000), these 
financial statements must be audited. 

(e) When the Administrator deems that an impoundment 
is necessary, the proceeds from the offering must be 
deposited in an escrow account with an impoundment agent 
approved by the Administrator. This impoundment must 
comply with the requirements set forth in CCH NASAA 
REPORTS 2151-2156. 

£fj Except as indicated in Paragraph (c) of Rule .1304 of 
this Section, an issuer of securities registered by qualifica- 
tion must file for re-registration within 30 days prior to the 
expiration of the security's current registration. The request 
for re-registration must meet all the requirements of G.S. 
78A-27, and be accompanied by a report of sales to date in 
North Carolina expressed in units and dollars. 

Statutory Authority G.S. 78A-27(d); 78A-27(b); 78A-49(a). 

. 1304 SECURITIES REGISTRATION AND FILING 
FEES 

(a) All fees (registration and filing) are payable to the 
Office of the Secretary of State and shall be submitted with 
the application for original, renewal, or additional registra- 
tion. The registration fee shall be retained by the adminis- 
trator, except where the registration is not granted by the 
administrator or where the registration is withdrawn at the 
request of the applicant and with the consent of the adminis- 
trator. The filing fee shall be retained by the administrator 
in all cases. 

(b) The aggregate offering amount of an original or 



amended registration may be increased prior to or after the 
effectiveness of the registration by providing the administra- 
tor the following: 

(1) An additional registration filing fee of fifty 
dollars ($50.00) if such filing occurs after the 
e ff e otiv e dat e of the offering ; 

(2) The appropriate registration fee calculated in the 
manner specified in G.S. 78A-28(b), provided 
the maximum registration fee has not been paid; 
and 

(3) An amendment to the Uniform Application to 
Register Securities (Form U-l). 

Additional registrations shall be effective when the adminis- 
trator so orders. The registration statement for a mutual 
fund or open-end management company may specify an 
indefinite aggregate offering amount if such offering amount 
is similarly registered with the Securities and Exchange 
Commission. The registration statement for a unit invest- 
ment trust must specify a definite aggregate offering amount 
expressed in dollars and shall not exceed the offering 
amount registered with the Securities Exchange Commis- 
sion. 

(c) A registration statement relating to securities issued or 
to be issued by a mutual fund or open-end management 
company company, or unit investment trust, to be offered 
for a period in excess of one year, must be renewed 
annually by payment of a renewal fee of one hundred 
dollars ($100.00) and by filing the following: 

(1) A copy of the current prospectus and any other 
offering materials not previously filed ; 

(2) One copy of any amendments to the registration 
statement not previously filed; and 

(3) A statement sales report on Form USR-1 of the 
amount of securities sold in this state to date and 
the balance of unsold securities effectively 
registered in this state, expressed in dollars. 

The payment of the renewal fee and the filing of the listed 
documents and reports in this Rule shall be made no earlier 
than November 15th and, to assure timely renewal, should 
be made no later than December 15th. Renewal must be 
perfected prior to December 3 1 of each year and failure to 
timely renew will result in the expiration of the registration 
statement. 

(d) A registration statement relating to securities issued or 
to be issued by a unit investment trust to be offered over a 
period exceeding one year must be renewed by payment of 
a renewal fee of one hundred dollars ($100.00) and by filing 
a sales report (Form USR-1) of the amount of the securities 
sold in this state to date and the balance of unsold securities 
effectively registered in this states expressed in dollars and 
units. The payment of the renewal fee and the sales report 
shall be made no earlier than 30 days prior to the expiration 
date of the registration. Upon termination of the offering of 
a unit investment trust, the issuer shall file a final sales 
report of the aggregate amount of securities sold in this 
state, subject to the provisions of Rule .1315 of this Section. 



70:5 



NORTH CAROLINA REGISTER 



June I, 1995 



311 



PROPOSED RULES 



Statutory Authority G.S. 78A-28(b); 78A-28Q); 78A-49(a). 



.1305 SPONSORSHIP BY DEALER 

(a) Except where the conditions of G.S. 78A-2(2)d.3. or 
78A-2(2)d.4. are met, no securities will be considered for 
registration unless the application therefor is sponsored by 
a North Carolina registered dealer with a statement of its 
desire and intent to offer such securities to the investing 
public in North Carolina. Sponsorship of an issue by a 
North Carolina registered dealer may be accomplished by 
the dealer being listed on the application form (U-l) as 
a pplicant and signing the application form as applicant, or 
in lieu thereof, the sponsoring dealer may wire or write the 
administrator otating with a statement proclaiming its 
intention to sponsor the issue in this State. The statement of 
sponsorship will not be accepted from the dealer's attorney 
unless a power of attorney has been given to the attorney by 
the dealer and a copy of the power of attorney is submitted 
together with letter of sponsorship. 

(b) No issuer shall be permitted to qualify as a dealer for 
the purpose of offering its own securities pursuant to a 
registration in this State. 

(c) If an issuer is reiving on G.S. 78A-2(2)d.3, then the 
issuer must submit, in writing, the names and titles of all 
persons who will be offering and selling the securities in 
North Carolina. 

Statutory Authority G.S. 78A-2(2); 78A-49(a). 

.1313 REGISTRATION OF DPP, REIT, AND LLC 
SECURITffiS 

(a) As a condition to the registration of direct participa- 
tion program securities, real estate investment trusts, and 
limited liability companies, the issuer or dealer(s) effecting 
sales of such securities pursuant to such registration shall: 

(1) deliver to each offeree of the security in this 
State prior to any sale of the security to such 
offeree, a written statement of the investor 
suitability standards and minimum initial cash 
investment which each offeree must meet in 
order to purchase the security. The statement 
may be contained in any offering circular, 
prospectus or other written document delivered 
to the offeree; 

(2) determine, prior to the sale of the security to 
each person in this State, that the person meets 
the investor suitability standards applicable to the 
security. For purposes of this determination, the 
issuer or dealer(s) shall be entitled to rely con- 
clusively upon a written statement or question- 



naire signed by the person and received in good 
faith and without knowledge that the information 
stated therein is inaccurate; 
(3) require that the minimum initial cash investment 
by each purchaser of such securities in this state 
be five thousand dollars ($5,000) except that no 
minimum investment shall be required for tax 
qualified plans. 

(b) The minimum investor suitability standards which 
shall be imposed for registered offerings of direct participa- 
tion program securities are as follows: 

(1) The investor shall either have a minimum net 
worth of two hundred twenty-five thousand 
dollars ($225,000) or a minimum net worth of 
sixty thousand dollars ($60,000) and had during 
the last tax year or estimates that the investor 
will have during the current tax year, taxable 
income of at least sixty thousand dollars 
($60,000) without regard to the investment in the 
security. 

(2) Net worth shall be determined exclusive of 
principal residence, mortgage thereon, home 
furnishings and automobiles. In the case of 
sales to fiduciary accounts, the investor suitabil- 
ity standards shall be met by the fiduciary or the 
fiduciary account or by the donor who directly 
or indirectly supplies the funds to purchase the 
securities. 

(c) The administrator will permit the substitution of lower 
suitability standards and a minimum initial cash investment 
of not less than two thousand five hundred dollars ($2,500), 
if such lower standards are consistent with the standards 
outlined in the NASAA policy statement for that specific 
type of program. (See CCH NASAA Reports for such 
policy statements.) 

(d) The administrator may modify or waive, upon the 
showing of good cause, the requirements of Paragraphs (a), 
(b) and (c) of this Rule, in whole or in part, with respect to 
a particular security, offering or transaction or the adminis- 
trator may require higher investor suitability standards and 
minimum investment requirements with respect to a particu- 
lar security offering or transaction where necessary for the 
protection of investors. 

Statutory Authority G.S. 78A-49(a). 



312 



NORTH CAROLINA REGISTER 



June 1, 1995 



10:5 



RRC OBJECTIONS 



1 he Rules Review Commission (RRC) objected to the following rules in accordance with G.S. 150B-2 1.9(a). State 
agencies are required to respond to RRC as provided in G.S. 150B-21. 12(a). 



DEPARTMENT OF COMMERCE 
Banking Commission 

4 NCAC 31 .0101 - Definitions; Filings 

Agency Revised Rule 
4 NCAC 31 .0402 - Annual Statement 

Agency Revised Rule 

DEPARTMENT OF CULTURAL RESOURCES 

Division of State Library 

7 NCAC 2E .0301 - Qualifications for Grants 
Agency Revised Rule 

ENVIRONMENT, HEALTH, AND NATURAL RESOURCES 

Coastal Management 

ISA NCAC 7H .0306 - General Use Standards for Ocean Hazard Areas 
15A NCAC 7H .0308 - Specific Use Standards for Ocean Hazard Areas 

Agency Revised Rule 

Rule Returned to Agency 

Agency Filed Rule for Codification Over RRC Objection 
15 A NCAC 7M .0202 - Policy Statements 

Rule Returned to Agency 

Agency Filed Rule for Codification Over RRC Objection 

Environmental Management 

15 A NCAC 2D .0902 - Applicability 
Agency Revised Rule 

Radiation Protection 

15 A NCAC 11 .0104 - Definitions 

Agency Revised Rule 
15 A NCAC 11 .0503 - Equipment Radiation Level Limits 

Agency Revised Rule 

Wildlife Resources and Water Safety 

15 A NCAC IOC .0205 - Public Mountain Trout Waters 

Agency Revised Rule 
ISA NCAC 10F .0330 - Carteret County 

Agency Revised Rule 
15 A NCAC 10K .0001 - Course Requirements 

Rule Withdrawn by Agency 



RRC Objection 


04/20/95 


Obj. Removed 


04/20/95 


RRC Objection 


04/20/95 


Obj. Removed 


04/20/95 



RRC Objection 
Obj. Removed 



04/20/95 
04/20/95 



RRC Objection 




05/18/95 


RRC Objection 




03/16/95 


Obj. Contd 




04/20/95 
04/20/95 




Eff. 


05/04/95 


RRC Objection 




03/16/95 


Obj. Contd 


Eff. 


04/20/95 
05/04/95 



RRC Objection 


04/20/95 


Obj. Removed 


04/20/95 


RRC Objection 


04/20/95 


Obj. Removed 


04/20/95 


RRC Objection 


04/20/95 


Obj. Removed 


04/20/95 



RRC 


Objection 


04/20/95 


Obj. 


Removed 


04/20/95 


RRC 


Objection 


04/20/95 


Obj. 


Removed 


04/20/95 
04/20/95 



10:5 



NORTH CAROLINA REGISTER 



June 1, 1995 



313 



RRC OBJECTIONS 



HUMAN RESOURCES 



Aging 



10 NCAC 22R .0202 - County Funding Plans 


RRC Objection 


04/20/95 


Agency Revised Rule 


Obj. Removed 


04/20/95 


Medical Assistance 






10 NCAC 26H .0104 - Cost Reporting: Auditing and Settlements 






Rule Withdrawn by Agency 




04/20/95 


10 NCAC 26M .0301 - Program Definition 


RRC Objection 


04/20/95 


Agency Revised Rule 


RRC Objection 


04/20/95 


10 NCAC 26M .0302 - Access to Care 


RRC Objection 


04/20/95 


Agency Revised Rule 


RRC Objection 


04/20/95 


10 NCAC 26M .0303 - Patient Informing 


RRC Objection 


04/20/95 


10 NCAC 26M .0304 - Relationship with Carolina Access 


RRC Objection 


04/20/95 


Agency Revised Rule 


RRC Objection 


04/20/95 


10 NCAC 26M .0305 - Relationship with EPSDT program 


RRC Objection 


04/20/95 


Agency Revised Rule 


RRC Objection 


04/20/95 


10 NCAC 26M .0306 - Relationship with Sub-Contractors 


RRC Objection 


04/20/95 


Agency Revised Rule 


RRC Objection 


04/20/95 


10 NCAC 26M .0307 - Utilization Review Requirements 


RRC Objection 


04/20/95 


Agency Revised Rule 


RRC Objection 


04/20/95 


10 NCAC 26M .0308 - Enrollee and Sub-Contractor Appeals and Grievances 


RRC Objection 


04/20/95 



LICENSING BOARDS AND COMMISSIONS 

Board of Cosmetic Art Examiners 

21 NCAC 14F .0014 - Salon Renewal RRC Objection 03/16/95 

No Response from Agency Obj. Cont'd 04/20/95 

21 NCAC 141 .0401 - App. for Lie. by Individuals Who Have Been Convicted of a Felony RRC Objection 03/16/95 

No Response from Agency Obj. Cont'd 04/20/95 

21 NCAC 141 .0402 - Requests for Preapplication Review of Felony Convictions RRC Objection 03/16/95 

No Response from Agency Obj. Cont'd 04/20/95 

Licensing Board for General Contractors 



21 NCAC 12 .0701 - Improper Practice 
Rule Withdrawn by Agency 



04/20/95 



Board of Practicing Psychologists 



21 NCAC 54 .2704 - HSP-P Requirements On and After June 30, 1994 

21 NCAC 54 .2705 - HSP-PP Requirements 

21 NCAC 54 .2706 - HSP-P A Requirements On and After June 30, 1994 



RRC Objection 
RRC Objection 
RRC Objection 



05/18/95 
05/18/95 
05/18/95 



PUBLIC EDUCATION 



Elementary and Secondary Education 



16 NCAC 6C .0207 - Prospective Teacher Scholarship Loans 
Agency Responded 
Agency Revised Rule 



RRC Objection 


02/16/95 


Obj. Cont'd 


03/16/95 


Obj. Removed 


04/20/95 



314 



NORTH CAROLINA REGISTER 



June 1, 1995 



10:5 



RRC OBJECTIONS 



REVENUE 

Sales and Use Tax 

17 NCAC 7B .1123 - Certain Sales to Commercial Livestock and Poultry Farmers RRC Objection 03/16/95 

Obj. Removed 04/20/95 

17 NCAC 7B .5445 - Commercial Swine, Livestock/Poultry Farmers' Cert. Form: E-599S RRC Objection 03/16/95 

Agency Repealed Rule Obj. Removed 04/20/95 



10:5 NORTH CAROLINA REGISTER June 1, 1995 315 



CONTESTED CASE DECISIONS 



1 his Section contains the full text of some of the more significant Administrative Law Judge decisions along with an index 
to all recent contested cases decisions which are filed under North Carolina 's Administrative Procedure Act. Copies of 
the decisions listed in the index and not published are available upon request for a minimal charge by contacting the 
Office of Administrative Hearings, (919) 733-2698. 



i 



AGENCY 



CASE 
NUMBER 



ALJ 



DATE OF 
DECISION 



PUBLISHED DECISION 
REGISTER CITATION 



ADMINISTRATION 



Division of Purchase and Contract 

Senter-Sanders Tractor Corp. v. Admin., Div of Purchase & Contract 

State Construction Office 

W. M. Piatt & Company v. State Construction Office, DOA 

ALCOHOLIC BEVERAGE CONTROL COMMISSION 



94 DOA 0803 Nesnow 



94 DOA 0738 Nesnow 



03/06/95 



04/11/95 



10:3 NCR 221 



Ali Alsaras v. Alcoholic Beverage Control Commission 
Norman D. Forbes v. Alcoholic Beverage Control Commission 
Albert Stanley Tomane^ v. Alcoholic Beverage Control Commission 
Robert Johnson v. Alcoholic Beverage Control Commission 
Stinking Mercury, Inc. v. Alcoholic Beverage Control Commission 
Alcoholic Beverage Control Comm. v. Depot Stop N Go, Inc. 
Bryan Lynn Whitaker, Susan Ansley Whitaker v. ABC Commission 
Diamond Club, Inc. v. Alcoholic Beverage Control Commission 
Ray E. Bailey v. Alcoholic Beverage Control Commission 

CRIME CONTROL AND PUBLIC SAFETY 

Crime Victims Compensation Commission 

John Pavlikianidis v. Victims Compensation Commission 
Wayne L. Utley v. Crime Victims Compensation Commission 
Kristine S. Ray v. Crime Victims Compensation Commission 
Shirley Moody Myers v. Crime Victims Compensation Commission 
Thomasine Inman v. Crime Victims Compensation Commission 
Irmgard Gordos v. Crime Victims Compensation Commission 
Ellen Sherwin v. Crime Vic Comp James Byrum Emp/ Baptist Hosp 
Lynn H. Henderson v. CPS, Victims Compensation Commission 

ENVIRONMENT, HEALTH, AND NATURAL RESOURCES 

Setzer Bros. Inc. v. Environment, Health, and Natural Resources 
John W. VanHoy, Jr. & Adjacent Land Owners v. EHNR 

and 
Shugart Enterprises, Inc. 

Coastal Resources 

Howard C. Slack v. Coastal Resources Comm, EHNR 

Davidson County Health Department 

John Dee Clodfelter v. Davidson County Health Dept.; EHNR 

Environmental Health 

EEE-7,7.7 Lay Drain Compnay, Inc. v. On-Site Wastewater Section, 
Division of Environmental Health 



94 ABC 0526 


Chess 


05/16/95 


94 ABC 0787 


Gray 


03/17/95 


94 ABC 1168 


Beeton 


03/07/95 


94 ABC 1661 


West 


05/01/95 


94 ABC 1682 


Chess 


05/03/95 


94 ABC 1694 


Mann 


03/29/95 


94 ABC 1784 


Mann 


04/19/95 


94 ABC 1803 


Mann 


04/07/95 


95 ABC 0210 


Gray 


05/01/95 



94 CPS 0237 


Morrison 


94 CPS 1180 


Becton 


94 CPS 1673 


Chess 


94 CPS 1674 


Chess 


94 CPS 1731 


Nesnow 


94 CPS 1782 


Gray 


95 CPS 0012 


West 


95 CPS 0212 


Morrison 



94 EHR 1676 

95 EHR 0016 



Nesnow 
Phipps 



95 EHR 0140 Phipps 



94 EHR 1037 Chess 



94 EHR 0745 Chess 



03/21/95 
03/07/95 
04/20/95 
04/20/95 
03/09/95 
03/09/95 
03/22/95 
05/08/95 



03/09/95 
03/17/95 



03/22/95 



03/13/95 



04/24/95 



10:2 NCR 176 



10:2 NCR 185 



316 



NORTH CAROLINA REGISTER 



June 1, 1995 



10:5 



CONTESTED CASE DECISIONS 



AGENCY 



CASE 
NUMBER 



ALJ 



DATE OF PUBLISHED DECISION 

DECISION REGISTER CITATION 



94 EHR 0924 



94 EHR 1202 



Environmental Management 

Empire Power Co. and George Clark v. EHNR, Div. of Env. Mgmt. 
and 
Duke Power Company 
Empire Power Co. and George Clark v. EHNR, Div. of Env. Mgmt. 
and 
Duke Power Company 
Kenan Oil Company, Inc. v. EHNR, Div. of Environmental Mgmt. 

Hyde County Health Department 

Fritzner Henry v. Hyde County Health Department 

Macon County Health Department 

Four Residents on Genva Circle v. Macon County Health Department 

Maternal and Child Health 

Middleburg Variety v. EHNR, Maternal & Child Health, Nutrition Svcs. 
Taisser Shehadeh v. EHNR, Maternal & Child Health, Nutrition Svcs. 
Philip Haskins v. EHNR, Div. of Maternal & Child Health 

New Hanover County Health Department 

Gus Kalogiros v. New Hanover Co. (Health Dept.), Adm & Env. Svcs 94 EHR 1073 

EQUAL EMPLOYMENT OPPORTUNITY 

Marsha Dianne McKoy v. DHR, Div. of MH/DD/SAS, Caswell Center 90 EEO 0379 

HUMAN RESOURCES 

Helen J. Walls, D/B/A Walls Young World v. Human Resources 



92 EHR 0021-' 


Gray 


04/03/95 


92 EHR 0053*' 


Gray 


04/03/95 


94 EHR 0894 


Nesnow 


05/08/95 



Gray 



Nesnow 



94 DHR 1362 



Morrison 



Chess 



Becton 



03/09/95 



03/27/95 



94 EHR 1601 


Chess 


05/01/95 


94 EHR 1711 


Chess 


05/02/95 


94 EHR 1777 


Chess 


03/09/95 



04/28/95 



04/03/95 



03/20/95 



Division of Child Development 

Iola Malloy v. DHR, Division of Child Development 
Esther Elder v. DHR, Division of Child Development 

Facility Services 

William H. Cooke v. DHR, Division of Facility Services 
Mildred Reece, Calvin Reece v. DHR, Division of Facility Svcs, 
Domiciliary &. Group Care Section 



94 DHR 0849 
94 DHR 1771 



94 DHR 0565 
94 DHR 1783 



Mann 
Reilly 



Gray 
Gray 



Bingo Licensure Section 

The Regular Veterans Association of the United States and the Sixteen 95 DHR 0040 Morrison 
Posts of the Regular Veterans Association of the United States and the 
Regular Veterans Association Auxiliary Located in the State of North 
Carolina v. DHR, Division of Facility Services, Bingo Licensure Section 

Certificate of Need Section 

The Carrolton of Fayetteville, Inc. and Highland House of Fayetteville, 94 DHR 0197* : Reilly 
Inc. and Richard Allen, Sr. v. DHR, Division of Facility Services, 
Certificate of Need Section 

and 
Pine Manor Rest Home, Inc., d/b/a Pine Manor Health Care 



03/03/95 
03/17/95 



03/16/95 
03/16/95 



04/13/95 



04/05/95 



% Consolidated cases. 



10:5 



NORTH CAROLINA REGISTER 



June 1, 1995 



317 



CONTESTED CASE DECISIONS 



AGENCY 



CASE 
NUMBER ALJ 



DAT?: OF 
DECISION 



PUBLISHED DECISION 
REGISTER CITATION 



The Carrolton of Fayetteville, Inc. and Highland House of Fayetievilie, 94 DHR 0198* : Reilly 
Inc. and Richard Allen. Sr. v, DHR, Division of Facility Services, 
Certificate of Need Section 

and 
Pine Manor Rest Home, Inc., d/b/a Pine Manor Health Care 



04/05/95 



Retirement Villages. Inc (Lessor), and Liberty Healthcare Ltd. 94 DHR 0403 

Partnership (Lessee) D/B/A Countryside Villa of Duplin v. DHR, 
Division of Facility Services, Certificate of Need Section 

and 
Beaver PropertiesAVallaee, Inc., and Bnan Center Health & Retirement/ 
Wallace, Inc. 



Chess 



12/14/94 



Division of Social Services 

Child Support Enforcement Section 

Daniel J. Carter v. Department of Human Resources 

Shawn Dominic Caldwell v. Department of Human Resources 

William Zonta Thompson v. Department of Human Resources 

Jackie E. Hackney v. Department of Human Resources 

Frank M. Swett v. Department of Human Resources 

Elbert Quick v. Department of Human Resources 

Clement McMillan v. Department of Human Resources 

James R. Gray v. Department of Human Resources 

Lacy Green, Jr. v. Department of Human Resources 

Leon McNair v. Department of Human Resources 

Edwin A. Clarke v. Department of Human Resources 

Wolfgang R. Walker v. Department of Human Resources 

Wyatt Roseboro v. Department of Human Resources 

Lloyd Lane Speake v. Department of Human Resources 

Richard L. Hiott v. Department of Human Resources 

Cecil Ray Hinshaw v. Department of Human Resources 

Terry C. Brown v. Department of Human Resources 

Henry C. Banks v. Department of Human Resources 

Lucille B. Dutter v. Department of Human Resources 

Charles Bascom Kiker v. Department of Human Resources 

Wade E. Hampton v. Department of Human Resources 

Gary Jay Stocks v. Department of Human Resources 

Paul E. Strawcutter v. Department of Human Resources 

Cary G. Dannelly v. Department of Human Resources 

Robert G. Baker v. Department of Human Resources 

Bernard T. Wade v. Department of Human Resources 

Rochester Levi Jones v. Department of Human Resources 

Timothy Bnan Eller v. Department of Human Resources 

Morgan Pate, Jr v. Department of Human Resources 

Robert E. Dudley, Sr. v. Department of Human Resources 

Julian Lattimore v. Department of Human Resources 

James McFadden v. Department of Human Resources 

Anthony D. McCain v. Department of Human Resources 

John C. Kay v. Department of Human Resources 

Raymond B. Clontz Jr. v. Department of Human Resources 

James C. Rogers v. Department of Human Resources 

Ruby Fewell Henry v. Department of Human Resources 

Michael Leon McCain v. Department of Human Resources 

George C. Rowers v. Department of Human Resources 

Kendrick William Sims v. Department of Human Resources 

Richard Dill v. Department of Human Resources 

Ted C. Jenkins v. Department of Human Resources 

Anthony J. Gibbons v. Department of Human Resources 

Aaron C. Harris v. Department of Human Resources 

Donald L. Costello Sr. v. Department of Human Resources 

Kelvin L. Lankford v. Department of Human Resources 

Jeffrey Thomas Chambers v. Department of Human Resources 

Robert J. Holden v. Department of Human Resources 

Michael L. Wright v. Department of Human Resources 

Terry S. Gurganus v. Department of Human Resources 

John Napoleon Window Cross PulUum v. Dept of Human Resourc 



91 CSE 


1103 


Morrison 


03/03/95 


92 CSE 


1449 


Reilly 


03/29/95 


92 CSE 


1559 


Reilly 


03/29/95 


93 CSE 


1088 


Chess 


03/20/95 


93 CSE 


\\2i^ 


Reilly 


05/16/95 


93 CSE 


1169 


Chess 


03/08/95 


93 CSE 


1208 


Chess 


03/08/95 


93 CSE 


1268 


Chess 


03/08/95 


93 CSE 


1295 


Chess 


03/08/95 


93 CSE 


1317 


Beeton 


04/04/95 


93 CSE 


1319 


Chess 


03/08/95 


93 CSE 


1374 


Gray 


04/28/95 


93 CSE 


1423 


Beaton 


04/25/95 


93 CSE 


1451 


Chess 


03/22/95 


93 CSE 


1509 


Mann 


04/21/95 


93 CSE 


1513 


Gray 


05/08/95 


93 CSE 


1516 


Morrison 


05/08/95 


93 CSE 


1556 


Chess 


03/22/95 


93 CSE 


1558 


Chess 


03/13/95 


93 CSE 


1561 


Mann 


04/21/95 


93 CSE 


1593 


Chess 


04/20/95 


93 CSE 


1652 


Chess 


03/21/95 


93 CSE 


1713 


Mann 


03/13/95 


94 CSE 


1033 


Nesnow 


03/24/95 


94 CSE 


1094 


Chess 


03/06/95 


94 CSE 


1101 


Becton 


04/03/95 


94 CSE 


1116 


Chess 


05/15/95 


94 CSE 


1119 


Reilly 


03/29/95 


94 CSE 


1127 


Mann 


03/20/95 


94 CSE 


1128 


Mann 


03/31/95 


94 CSE 


1131 


Reilly 


03/13/95 


94 CSE 


1132 


West 


03/14/95 


94 CSE 


1141 


Nesnow 


05/16/95 


94 CSE 


1143 


Chess 


04/13/95 


94 CSE 


1149 


Nesnow 


03/03/95 


94 CSE 


1153 


Gray 


04/04/95 


94 CSE 


1157 


Nesnow 


03/16/95 


94 CSE 


1158 


Beaton 


05/16/95 


94 CSE 


1184 


Mann 


05/02/95 


94 CSE 


1186 


Chess 


05/01/95 


94 CSE 


1195 


Mann 


03/29/95 


94 CSE 


1218 


Gray 


03/15/95 


94 CSE 


1219 


Gray 


03/15/95 


94 CSE 


1225 


Reilly 


04/10/95 


94 CSE 


1228 


West 


03/17/95 


94 CSE 


1229 


West 


03/17/95 


94 CSE 


1231 


Nesnow 


03/03/95 


94 CSE 


1232 


Nesnow 


03/15/95 


94 CSE 


1237 


Gray 


03/15/95 


94 CSE 


1239 


Gray 


03/02/95 


94 CSE 


1241 


Gray 


03/15/95 



318 



NORTH CAROLINA REGISTER 



June 1, 1995 



10:5 



CONTESTED CASE DECISIONS 



AGENCY 



Michael J. Montroy v. Department of Human Resources 

Clarence Benjamin Banks Jr. v. Department of Human Resources 

Dennis L. Moore v. Department of Human Resources 

James Edward Knox, Jr. v. Department of Human Resources 

David House v. Department of Human Resources 

Aqustin S. Sanchez v. Department of Human Resources 

Ricky Ratliff v. Department of Human Resources 

Willie McNeil Jr. v. Department of Human Resources 

Ray Douglas Brickhouse v. Department of Human Resources 

Tyron G. Moore v. Department of Human Resources 

Paul A. Card v. Department of Human Resources 

Darrin Yancey v. Department of Human Resources 

Douglas L. Lucas v. Department of Human Resources 

Gregory D. Simpson v. Department of Human Resources 

Michael Lynn Avery v. Department of Human Resources 

Elvis M. Graham v. Department of Human Resources 

Shawn Fonville v. Department of Human Resources 

James Lee, Jr. v. Department of Human Resources 

Noah L. Houston, Sr. v. Department of Human Resources 

Shannon Vanderaa v. Department of Human Resources 

Anthony Murray v. Department of Human Resources 

Tommy L. Burchfield v. Department of Human Resources 

Gregory A. Rodrigues v. Department of Human Resources 

Larry R. Bales v. Department of Human Resources 

Karl Philip Jursen v. Department of Human Resources 

Edward Fitch v. Department of Human Resources 

Otis Lewis Jr. v. Department of Human Resources 

Robert F. Catoe Jr. v. Department of Human Resources 

William Anthony Winchester v. Department of Human Resources 

Aaron L. Clark v. Department of Human Resources 

Vincent R. Valles Sr. v. Department of Human Resources 

Gary W. Gibson v. Department of Human Resources 

Mark A. West v. Department of Human Resources 

John E. Bolas Jr. v. Department of Human Resources 

Gary C. Wiggins v. Department of Human Resources 

Rhonnie J. Williams v. Department of Human Resources 

Danny Ray Hensley v. Department of Human Resources 

David C. Glenn v. Department of Human Resources 

Ivy M. Harvell v. Department of Human Resources 

Terry L. McMillon v. Department of Human Resources 

Garry G. Hickman v. Department of Human Resources 

Willie Herring v. Department of Human Resources 

Joe C. Dean v. Department of Human Resources 

Jimmie E. Barnes v. Department of Human Resources 

Cecilia Carmosino v. Department of Human Resources 

Marvin F. Walker v. Department of Human Resources 

Richard J. Almeida v. Department of Human Resources 

Michael R. French v. Department of Human Resources 

William R. Casey v. Department of Human Resources 

John A. Jackson v. Department of Human Resources 

Michael R. Roberts v. Department of Human Resources 

Cleothis B. Smith v. Department of Human Resources 

Leroy Johnson Jr. v. Department of Human Resources 

James Patterson v. Department of Human Resources 

Thomas Colon v. Department of Human Resources 

Walter Swirniak Jr. v. Department of Human Resources 

Marion Rodriguez v. Department of Human Resources 

Jerry L. White Sr. v. Department of Human Resources 

Dennis James Grimes v. Department of Human Resources 

Scott John Tozzi v. Department of Human Resources 

Roger A. Eaton v. Department of Human Resources 

Willie J. Flowers Jr. v. Department of Human Resources 

Jeffrey James Spence v. Department of Human Resources 

Byron C. Alston v. Department of Human Resources 

Oliver Lee Wolfe Sr. v. Department of Human Resources 

James Tracy Strickland v. Department of Human Resources 

Michael K. Reese v. Department of Human Resources 

Richard G. Medford, Jr. v. Department of Human Resources 



CASE 




DATE OF 


NUMBER 


ALJ 


DECISION 


94 CSE 


1244 


Morrison 


03/13/95 


94 CSE 


1247 


Morrison 


05/17/95 


94 CSE 


1249 


Morrison 


03/02/95 


94 CSE 


1254 


Reilly 


03/13/95 


94 CSE 1256 


Reilly 


03/15/95 


94 CSE 


1259 


West 


03/06/95 


94 CSE 


1261 


West 


03/17/95 


94 CSE 


1262 


West 


03/17/95 


94 CSE 


1263 


West 


03/17/95 


94 CSE 


1264 


West 


03/17/95 


94 CSE 


1266 


Nesnow 


03/13/95 


94 CSE 


1269 


Nesnow 


03/15/95 


94 CSE 


1270 


Nesnow 


03/15/95 


94 CSE 


1272 


Becton 


03/15/95 


94 CSE 


1274 


Becton 


03/15/95 


94 CSE 


1275 


Becton 


03/15/95 


94 CSE 


1277 


Becton 


03/06/95 


94 CSE 


1280 


ChesB 


04/10/95 


94 CSE 1284 


Chess 


04/26/95 


94 CSE 


1286 


Mann 


03/21/95 


94 CSE 1287 


Mann 


03/21/95 


94 CSE 


1289 


Mann 


03/21/95 


94 CSE 


1300 


Mann 


03/21/95 


94 CSE 


1302 


Gray 


03/02/95 


94 CSE 


1303 


Gray 


03/15/95 


94 CSE 


1313 


Mann 


05/02/95 


94 CSE 


1314 


Mann 


03/21/95 


94 CSE 


1329 


Morrison 


03/15/95 


94 CSE 


1331 


Reilly 


03/15/95 


94 CSE 


1332 


Reilly 


03/15/95 


94 CSE 


1333 


West 


03/17/95 


94 CSE 


1334 


West 


03/06/95 


94 CSE 


1335 


West 


03/17/95 


94 CSE 


1336 


Nesnow 


03/15/95 


94 CSE 


1338 


Nesnow 


03/15/95 


94 CSE 


1339 


Becton 


03/15/95 


94 CSE 


1340 


Becton 


03/15/95 


94 CSE 


1343 


Chess 


04/20/95 


94 CSE 


1345 


Mann 


03/21/95 


94 CSE 


1346 


Mann 


03/21/95 


94 CSE 


1348 


Gray 


03/15/95 


94 CSE 


1350 


Morrison 


03/02/95 


94 CSE 


1351 


Morrison 


03/15/95 


94 CSE 


1352 


Reilly 


03/03/95 


94 CSE 


1354 


West 


03/17/95 


94 CSE 


1355 


West 


03/17/95 


94 CSE 


1357 


Nesnow 


03/15/95 


94 CSE 


1359 


Becton 


03/15/95 


94 CSE 


1369 


Mann 


05/02/95 


94 CSE 


1370 


Mann 


03/07/95 


94 CSE 


1371 


Mann 


03/21/95 


94 CSE 


1373 


Gray 


03/15/95 


94 CSE 


1377 


Mann 


03/31/95 


94 CSE 


1378 


Morrison 


03/15/95 


94 CSE 


1379 


Reilly 


03/15/95 


94 CSE 


1382 


West 


03/17/95 


94 CSE 


1385 


Nesnow 


03/03/95 


94 CSE 


1387 


Nesnow 


03/15/95 


94 CSE 


1388 


Becton 


03/15/95 


94 CSE 


1389 


Becton 


03/15/95 


94 CSE 


1392 


Gray 


03/09/95 


94 CSE 


1393 


Morrison 


03/15/95 


94 CSE 


1394 


Reilly 


03/15/95 


94 CSE 


1396 


Nesnow 


03/03/95 


94 CSE 


1397 


Mann 


03/31/95 


94 CSE 


1398 


Mann 


03/31/95 


94 CSE 


1412 


Gray 


03/31/95 


94 CSE 


1415 


Morrison 


03/02/95 



PUBLISHED DECISION 
REGISTER CITATION 



10:5 



NORTH CAROLINA REGISTER 



June 1, 1995 



319 



CONTESTED CASE DECISIONS 



\<;km v 



Theresa Strader v. Department of Human Resources 

James F. Williams v. Department of Human Resources 

Kennedy C. Uzomha v. Department of Human Resources 

Marion A. Ward v. Department of Human Resources 

Samuel A. Lewis v. Department of Human Resources 

Robert Lee Wall v. Department of Human Resources 

James M. Breaden Jr. v. Department of Human Resources 

Peter G. Coley v. Department of Human Resources 

Benjamin Nuriddin v. Department of Human Resources 

Robert L. Carter v. Department of Human Resources 

Danny Columbus Baker V. Department of Human Resources 

Duke William Dupre' v. Department of Human Resources 

Audrey Jennings v. Department of Human Resources 

Michael A. Camp v. Department of Human Resources 

Martin J. Miller v. Department of Human Resources 

Willie Cherry, Jr. v, Department of Human Resources 

William V. Glennon v. Department of Human Resources 

Alaster Williams v. Department of Human Resources 

Henry L. Gibbs v. Department of Human Resources 

Roger Gene Fehlhaber v. Department of Human Resources 

Beau L. Miller v. Department of Human Resources 

Claude E. Alston v. Department of Human Resources 

Elizabeth F. West v. Department of Human Resources 

John H. Underwood v. Department of Human Resources 

James T. Dudley Jr. v. Department of Human Resources 

Lori Davis Humphrey v. Department of Human Resources 

Robert L. Freeland, Jr. v. Department of Human Resources 

Antonio Darden (IV-D #1237637) v. Department of Human Resources 

Antonio Darden (IV-D #1280116) v. Department of Human Resources 

Antonio Darden (IV-D #1233347) v. Department of Human Resources 

Cyrus R. Luallen v. Department of Human Resources 

Harold Dean Horn v. Department of Human Resources 

James B. Miller v. Department of Human Resources 

Glenn Allison v. Department of Human Resources 

Louis R. Saiamone v. Department of Human Resources 

Randy Norns Willis v. Department of Human Resources 

Michael E. Bellamy v. Department of Human Resources 

Eddie James Johnson v. Department of Human Resources 

Coley C. Matthews v. Department of Human Resources 

Willie J. Gadson v. Department of Human Resources 

Donald Lee Barcliff v. Department of Human Resources 

James W. Nunnery v. Department of Human Resources 

William Leroy Watkins v. Department of Human Resources 

Peter Ian Oliveira v. Department of Human Resources 

Ronald E. Lewis v. Department of Human Resources 

Wesley Kelvin Cook v. Department of Human Resources 

Carlos L. Robinson v. Department of Human Resources 

Eddie O Toro v. Department of Human Resources 

Timothy Mark Johnson v. Department of Human Resources 

Alan W. Karsner v. Department of Human Resources 

Volna Ramone Gales v. Department of Human Resources 

Bruce Kelly Jacobs v. Department of Human Resources 

Tony Collins v. Department of Human Resources 

Ronald O. Biggs v. Department of Human Resources 

Keith Dewayne Senters v. Department of Human Resources 

Marvin B. Harris v. Department of Human Resources 

Jay C. Edwards, III v. Department of Human Resources 

Mahalon E. White v. Department of Human Resources 

Dennis Ray Alexander v. Department of Human Resources 

Joseph R. &. Linda M. Grooms v. Department of Human Resources 

Robert M. Martin v. Department o( Human Resources 

Ashton Berry Gatlin v. Department of Human Resources 

Louis Cragg HI v. Department of Human Resources 

Ellen Downing v. Department of Human Resources 

Charles R. Hauley v. Department of Human Resources 

Michael L. Schadler v. Department of Human Resources 

Owen B. Fisher Jr. v. Department of Human Resources 

Robin Dclmar Goods v. Department of Human Resources 



CASE 




DATE OF 


NUMBER 


ALJ 


DECISION 


94 CSE 1416 


Morrison 


03/21/95 


94 CSE 1417 


Morrison 


03/21/95 


94 CSE 1420 


Reilly 


04/03/95 


94 CSE 1421 


Reilly 


03/03/95 


94 CSE 1424 


Reilly 


04/03/95 


94 CSE 1425 


West 


03/31/95 


94 CSE 1426 


West 


03/31/95 


94 CSE 1427 


West 


03/31/95 


94 CSE 1429 


West 


03/31/95 


94 CSE 1430 


Nesnow 


03/24/95 


94 CSE 1431 


Nesnow 


03/24/95 


94 CSE 1432 


Nesnow 


03/24/95 


94 CSE 1433 


Nesnow 


03/24/95 


94 CSE 1435 


Becton 


03/06/95 


94 CSE 1436 


Becton 


03/06/95 


94 CSE 1439 


Chess 


03/03/95 


94 CSE 1444 


Mann 


03/07/95 


94 CSE 1445 


Gray 


03/02/95 


94 CSE 1446 


Morrison 


03/21/95 


94 CSE 1447 


Reilly 


04/03/95 


94 CSE 1452 


West 


03/07/95 


94 CSE 1454 


Nesnow 


04/17/95 


94 CSE 1455 


Nesnow 


03 '07/95 


94 CSE 1456 


Nesnow 


04/17/95 


94 CSE 1457 


Nesnow 


04/28/95 


94 CSE 1459 


Becton 


03/06/95 


94 CSE 1460 


Becton 


04/07/95 


94 CSE 1461 


Becton 


04/07/95 


94 CSE 1462 


Becton 


04/07/95 


94 CSE 1463 


Becton 


04/07/95 


94 CSE 1470 


Mann 


03/31/95 


94 CSE 1471 


Mann 


03/07/95 


94 CSE 1472 


Mann 


03/07/95 


94 CSE i473 


Gray 


03/02/95 


94 CSE 1474 


Gray 


03/09/95 


94 CSE 1476 


Morrison 


03/21/95 


94 CSE 1477 


Morrison 


03/02/95 


94 CSE 1478 


Morrison 


03/02/95 


94 CSE 1479 


Morrison 


03/21/95 


94 CSE 1480 


Reilly 


04/10/95 


94 CSE 1482 


Reilly 


04/10/95 


94 CSE 1484 


Nesnow 


04/17/95 


94 CSE 1486 


Nesnow 


04/17/95 


94 CSE 1489 


Becton 


03/07/95 


94 CSE 1491 


Becton 


03/07/95 


94 CSE 1492 


Becton 


04/07/95 


94 CSE 1499 


Mann 


03/31/95 


94 CSE 1500 


Mann 


03/31/95 


94 CSE 1502 


Mann 


05/02/95 


94 CSE 1503 


Mann 


05/02/95 


94 CSE 1505 


Gray 


04/07/95 


94 CSE 1508 


Gray 


03/31/95 


94 CSE 151 1 


Gray 


03/02/95 


94 CSE 1512 


Gray 


04/07/95 


94 CSE 1513 


Gray 


04/28/95 


94 CSE 1533 


Morrison 


03/02/95 


94 CSE 1534 


Morrison 


04/06/95 


94 CSE 1537 


Morrison 


04/06/95 


94 CSE 1538 


Reilly 


03/03/95 


94 CSE 1539 


Reilly 


03/07/95 


94 CSE 1541 


Reilly 


03/07/95 


94 CSE 1542 


Reilly 


04/10/95 


94 CSE 1543 


West 


03/06/95 


94 CSE 1553 


Nesnow 


03/30/95 


94 CSE 1554 


Becton 


03/07/95 


94 CSE 1555 


Becton 


03/07/95 


94 CSE 1562 


Becton 


04/07/95 


94 CSE 1563 


Becton 


04/07/95 



PUBLISHED DECISION 
REGISTER CITATION 



320 



NORTH CAROLINA REGISTER 



June 1, 1995 



10:5 



CONTESTED CASE DECISIONS 



AGENCY 



Terrence R. McLaughlin v. Department of Human Resources 
Ward F. Miller v. Department of Human Resources 
Joel P. Roth v. Department of Human Resources 
Atward T. Warren v. Department of Human Resources 
Albert Noah Dunlap v. Department of Human Resources 
James E. Davis v. Department of Human Resources 
Roger T. Benoy v. Department of Human Resources 
Spencer P. Johnson v. Department of Human Resources 
James A. Bryant v. Department of Human Resources 
Conrade Dunklin v. Department of Human Resources 
Kenneth J. Balfour v. Department of Human Resources 
Willie A. Harris v. Department of Human Resources 
Walter T. Townsend Jr. v. Department of Human Resources 
Dennis W. Nolan v. Department of Human Resources 
Roderick Odell Adams v. Department of Human Resources 
Jonathan L. Payne II v. Department of Human Resources 
Charles Scott Wilhoit v. Department of Human Resources 
Mickey Bridgett v. Department of Human Resources 
John Kimmons v. Department of Human Resources 
Randolph J. Nunn v. Department of Human Resources 
David Lester Gordon v. Department of Human Resources 
Anthony Harrison v. Department of Human Resources 
Michael D. Tyree v. Department of Human Resources 
Edward Fisher v. Department of Human Resources 
Bernard Cooper v. Department of Human Resources 
William Gray v. Department of Human Resources 
Jimmy R. Jackson v. Department of Human Resources 
Mark A. Jones v. Department of Human Resources 
Ondino Damota Freitas v. Department of Human Resources 
Tony Monzell Perry v. Department of Human Resources 
Frank M. Swett v. Department of Human Resources 
James B. Stokes Jr. v. Department of Human Resources 
Nelson Bennett v. Department of Human Resources 
Eric L. McDonald v. Department of Human Resources 
Kenny R. Bradshaw v. Department of Human Resources 
Eddie Harris Jr. v. Department of Human Resources 
Anthony B. Gardner v. Department of Human Resources 
Robert Larry Martin v. Department of Human Resources 
Joseph O. Evans v. Department of Human Resources 
Donald E. Kirby v. Department of Human Resources 
Paul R. Ross v. Department of Human Resources 
Bobby Dain Massey v. Department of Human Resources 
Carol Jeanne Deese v. Department of Human Resources 
Joyce Ann Wilkinson v. Department of Human Resources 

Distribution Child Support 

Lisa J. Hill v. DHR, Div. of Social Svcs., Child Support Enf. Section 

Wake County Social Services 

Grace A. Wright v. Wake County Social Services., Suzanne Woodell 
and Craig Glenn 

INSURANCE 



CASE 




DATE OF 


NUMBER 


ALJ 


DECISION 


94 CSE 


1569 


Chess 


03/07/95 


94 CSE 


1571 


Chess 


04/19/95 


94 CSE 


1572 


West 


03/14/95 


94 CSE 


1573 


West 


03/31/95 


94 CSE 


1577 


Reilly 


04/10/95 


94 CSE 


1578 


Rcilly 


04/10/95 


94 CSE 


1579 


Reilly 


03/03/95 


94 CSE 


1580 


Reilly 


04/10/95 


94 CSE 


1582 


Morrison 


04/06/95 


94 CSE 


1583 


Morrison 


04/06/95 


94 CSE 


1584 


Morrison 


03/07/95 


94 CSE 


1586 


Morrison 


04/06/95 


94 CSE 


1587 


Gray 


04/28/95 


94 CSE 1590 


Gray 


03/31/95 


94 CSE 


1591 


Gray 


04/07/95 


94 CSE 


1592 


Morrison 


04/06/95 


94 CSE 


1594 


Reilly 


04/21/95 


94 CSE 


1595 


West 


05/08/95 


94 CSE 1596 


Nesnow 


04/17/95 


94 CSE 


1608 


Mann 


03/21/95 


94 CSE 


1609 


Mann 


03/13/95 


94 CSE 


1615 


Becton 


04/07/95 


94 CSE 


1619 


Becton 


04/07/95 


94 CSE 


1621 


Becton 


04/07/95 


94 CSE 


1623 


Nesnow 


04/17/95 


94 CSE 


1645 


Becton 


04/25/95 


94 CSE 


1648 


Gray 


03/09/95 


94 CSE 


1649 


Morrison 


03/07/95 


94 CSE 


1650 


Reilly 


03/07/95 


94 CSE 


1651 


West 


04/07/95 


94 CSE 


1652* 5 


Reilly 


05/16/95 


94 CSE 


1653 


Becton 


04/07/95 


94 CSE 


1656 


Gray 


03/02/95 


94 CSE 


1657 


Morrison 


04/06/95 


94 CSE 


1700 


Reilly 


04/10/95 


94 CSE 


1702 


Becton 


04/07/95 


94 CSE 


1704 


Mann 


05/02/95 


94 CSE 


1750 


Chess 


03/21/95 


94 CSE 


1766 


Chess 


03/21/95 


94 CSE 


1767 


Reilly 


03/03/95 


94 CSE 


1778 


West 


03/06/95 


94 CSE 


1798 


Gray 


04/27/95 


94 CSE 


1814 


Morrison 


04/27/95 


95 CSE 0071 


Becton 


04/04/95 



PUBLISHED DECISION 
REGISTER CITATION 



95 DCS 0239 



94 DHR 1618 



Phipps 



Chess 



05/02/95 



05/03/95 



Billy Gene Campbell v. Department of Insurance 

JUSTICE 

Alarm Systems Licensing Board 

Patrick P. Sassman v. Alarm Systems Licensing Board 

Private Protective Services Board 



95 INS 0143 



94 DOJ 1825 



Reilly 



Reilly 



04/20/95 



03/09/95 



Lewis Austin Saintsing v. Private Protective Services Board 
Marcus T. Williams v. Private Protective Services Board 



94 DOJ 1000 
94 DOJ 1064 



Chess 
Chess 



03/03/95 
02/24/95 



10:5 



NORTH CAROLINA REGISTER 



June 1, 1995 



321 



CONTESTED CASE DECISIONS 



AGENCY 

Melvin Ray Cooper v. Private Protective Services Board 
Donnell E. Morrow, Jr. v. Private Protective Services Board 

Sheriffs Education and Training Standards Division 

Ricky Dale McDevitt v. Sheriffs Ed. & Training Stds. Comm. 
Constance F. Lawrence v. Sheriffs Ed. & Training Stds. Comm. 

LABOR 

Occupational Safety A Health Division 

Lenoir County Public Schools v. Department of Labor, OSHA 

Wage and Hour Division 

R.J. Scott, Pres. Pirate Enterprises, Inc. v. Labor, Wage & Hour Div. 

PUBLIC INSTRUCTION 

Glenn II, on behalf of Glenn U, and Glenn II, Individually v. Charlotte- 
Mecklenburg County Schools 
William Hewett v. State Board of Education 
Deborah R. Crouse v. State Board of Education 
Bobby G. Little v. Department of Public Instruction 
Tonya Marie Snipes and Robert Leon Snipes v. Orange County Schools 

STATE PERSONNEL 

Caswell County Health Department 

Julie R. Johnson v. Caswell County Health Department 

Department of Correction 

Nancy Gilchrist v. Department of Correction 

Howard Gray Sadler v. Correction, Div. of Adult Probation/Parole 

Thomas Wayne Smathers v. Department of Correction 

George J. McClease, Jr. v. Department of Correction 

Ruth Kearney v. Department of Correction 

Office of the District Attorney 

Shannon Caudill v. Office of the District Attorney for Judicial 
District 17-B, and Administrative Office of the Courts 



CASE 




DATE OF 


PUBLISHED DECISION 


NUMBER 


ALJ 


DECISION 


REGISTER CITATION 


94 DOJ 1635 


Reilly 


03/09/95 




94 DOJ 1823 


Rcilly 


03/09/95 





94 DOJ 1710 

95 DOJ 0076 



95 DOL 0218 



94 DOL 1524 



94 OSP 0865 



95 OSP 0188 



Nesnow 
Morrison 



Nesnow 



West 



Reilly 



Nesnow 



05/04/95 
04/06/95 



05/01/95 



03/23/95 



03/15/95 



94 OSP 0121 


West 


03/09/95 


94 OSP 0332 


West 


05/15/95 


94 OSP 0590 


West 


03/23/95 


94 OSP 0644 


Gray 


04/19/95 


94 OSP 1807 


Becton 


03/13/95 



03/20/95 



10:5 NCR 324 



93 EDC 0549 


Chess 


03/16/95 






94 EDC 0533 


Gray 


03/31/95 


10:2 NCR 


179 


95 EDC 0003 


Chess 


04/10/95 






95 EDC 0168 


Phipps 


03/20/95 






95 EDC 0225 


Mann 


05/15/95 







Fayetteville State University 

George Benstead v. Fayetteville State University 

Forsyth Stokes Mental Health Center 

Michael Howell v. Forsyth Stokes Mental Health Center 

Department of Human Resources 

Eugene Hightower, Jr. v. Department of Human Resources, EEO 
Rebecca Johnson V. Human Resources, Special Care Center 

Cherry Hospital 

William H. Cooke v. DHR, Cherry Hospital 

Iredell County Department of Social Services 

Vernon E. Grosse v. Iredell County Department of Social Services 
Bonnie N. Bellamy v. Iredell County Department of Social Services 



94 OSP 1597 



94 OSP 0499 



94 OSP 1811 

95 OSP 0138 



93 OSP 1547 



94 OSP 0282 
94 OSP 0739 



Nesnow 



Chess 



West 
West 



Gray 



Becton 
Chess 



04/04/95 



03/24/95 



05/04/95 
03/31/95 



03/16/95 



03/09/95 
03/01/95 



10:01 NCR 48 



322 



NORTH CAROLINA REGISTER 



June 1, 1995 



10:5 



CONTESTED CASE DECISIONS 



AGENCY 



CASE 
NUMBER 



ALJ 



DATE OF 
DECISION 



PUBLISHED DECISION 
REGISTER CITATION 



Lee-Harnett Area Mental Health, Developmental Disabilities, and Substance Abuse Authority 



Julie Dyer v. Lee-Harnett Area MH/DD/SA Authority 

North Carolina State University 

David L. Bauer v. North Carolina State University 
Billy Ray Kelly v. NCSU Physical Plant 

Orange-Person-Chatham Mental Health 

Patricia A. Harris v. Orange-Person-Chatham Mental Health 

Department of Transportation 

Michael E. Kornegay v. Department of Transportation 

VNC Hospitals 

David Patrick Maione v. Univ. of NC Hospital at Chapel Hill 
Lillian C. Daniels v. UNC Hospital 

Wake County 

Mark Morgan v. Wake County 

STATE TREASURER 



94 OSP 0750 



95 OSP 0044 
95 OSP 0130 



95 OSP 0162 



93 OSP 1700 



94 OSP 0771 

95 OSP 0056 



94 OSP 0937 



Gray 



Morrison 
West 



West 



Gray 



Becton 
Morrison 



Nesnow 



03/20/95 



04/25/95 
03/22/95 



04/11/95 



03/24/95 



03/14/95 
05/11/95 



04/28/95 



10:4 NCR 287 



John W. Parns v. Bd. of Trustees//NC Local Gov. Emp. Retirement Sys. 91 DST 1093 Nesnow 05/04/95 

Channie S. Chapman v. BdATrustees//NC Local Gov. Emp. Ret Sys. 94 DST 0443 Morrison 05/15/95 



10:5 



NORTH CAROLINA REGISTER 



June 1, 1995 



323 



CONTESTED CASE DECISIONS 



STATE OF NORTH CAROLINA 
COUNTY OF MADISON 



IN THE OFFICE OF 

ADMINISTRATIVE HEARINGS 

94DOJ 1710 



RICKY DALE MCDEVITT, 

Petitioner, 



\s. 



NORTH CAROLINA SHERIFFS' 
EDUCATION AND TRAINING 
STANDARDS COMMISSION, 
Respondent. 



PROPOSAL FOR DECISION 



The above-entitled contested case was commenced by the filing of a Request for an Appointment of Administrative 
Law Judge to preside pursuant to G.S. 150B-49(e). A hearing was held before Administrative Law Judge Dolores O. 
Nesnow on April 7, 1995. in Asheville, North Carolina. 

APPEARANCES 

For Petitioner: Ricky Dale McDevitt 

Petitioner appeared pro se. 

For Respondent: John J. Aldridge III 

Associate Attorney General 
N.C. Department of Justice 
Attorney for Respondent. 

ISSUE 

Did Respondent properly deny Petitioner's application for Certification as a Justice Officer (Jailer) on the grounds 
that Petitioner had prior criminal convictions and was not of good morai character? 

RULES AT ISSUE 

12 NCAC 10B. 0204(d)(1) 
12 NCAC 10B.0204(d)(3) 
12 NCAC 10B.0204(d)(6) 

STIPULATION AGREEMENTS 

1. Both parties are properly before this Administrative Law Judge, in that jurisdiction and venue are 
proper, that both parties received proper Notice of Hearing required pursuant to North Carolina General Statutes 150B-38. 

2. The North Carolina Sheriffs' Education and Training Standards Commission has the authority granted under 
Chapter 17Eof the North Carolina General Statutes and Title 12 of the North Carolina Administrative Code, Chapter 10, 
Subchapter 10B, to certify justice officers as either deputy sheriffs or jailers, and to deny, revoke, or suspend such 
certification. 

3. 12 NCAC 10B. 0204(d)(1), (3), and (6) provide that: 

(d) the Commission may revoke, suspend or deny the certification of a justice officer when the 

Commission finds that the applicant for certification or the certified officer has committed or been 
convicted of: 



324 



NORTH CAROLINA REGISTER 



June 1, 1995 



10:5 



CONTESTED CASE DECISIONS 



(1) A crime or unlawful act defined in 12 NCAC 10B .0103(10)(b) as a Class B misde- 

meanor within the five year period prior to the date of appointment. 

(3) Four or more crimes or unlawful acts defined in 12 NCAC 10B .0103(10)(b) as Class 

B misdemeanors regardless of the date of commission or of conviction. 

(6) Any combination of four or more crimes or unlawful acts defined in 12 NCAC 10B 

.0103(10)(a) as a Class A misdemeanor or defined in 12 NCAC 10B .0103(10)(b) as a 
Class B misdemeanor regardless of the date of commission or conviction. 

4. 12 NCAC 10B .0103(10)(b) provides that a Class B misdemeanor means an act committed or omitted in 
violation of any common law, criminal statute, or criminal traffic code of this state, or any other jurisdiction, either civil 
or military, for which the maximum punishment allowable for the designated offense under the laws and statutes of the 
jurisdiction in which the offense occurred includes imprisonment for a term of more than six months but not more than two 
years. Class B misdemeanor expressly includes either first or subsequent offenses of N.C.G.S. 20-138(a) or (b). A Class 
B misdemeanor also includes a violation of N.C.G.S. 20-138.1 if the defendant was sentenced under punishment level 1 
or punishment level 2 for the offense and also includes a violation of N.C.G.S. 20-28(b)(driving while license permanently 
revoked or suspended). 

5. 12 NCAC 10B .0103(10)(a) provides that a Class A Misdemeanor means an act committed or omitted in 
violation of any common law, criminal statute, or criminal traffic code of this State, or any other jurisdiction, either civil 
or military, for which the maximum punishment allowable for the offense under the laws and statutes of the jurisdiction in 
which the offense occurred includes imprisonment for a term of not more than six months. 

6. 12 NCAC 10B .0204(b)(2) provides that the Commission shall revoke, deny, or suspend the certification 
of a justice officer when the Commission finds that the applicant for certification or the certified officer fails to meet or 
maintain any of the minimum employment or certification standards required by 12 NCAC 10B .0300. 

7. 12 NCAC 10B .0301(a)(8) provides that every justice officer employed or certified as a deputy sheriff or 
jailer in North Carolina shall be of good moral character. 



8. 



The Petitioner was charged and convicted of the following criminal offenses on the dates and times as 



indicated: 



Charge 

a. 93 CR 03713 
Fishing without a 
license on 14 May 1993. 

b. 91 CR 330 

Driving while license permanently 
revoked on 10 April 1991, 

c. 91 CR 331 
Carrying a concealed 
weapon on 10 April 1991 

d. 91 CR 1098 

Driving while license permanently 
revoked on 22 September 1991 

e. 85 CR 795 

Level I DWI on 16 April 1985 

f. Level II DWI on 12 
November 1983 



Disposition 
Convicted 2 June 1993 

Convicted 28 August 1991 

Convicted 28 August 1991 

Convicted 20 November 1991 

Convicted 19 July 1985 
Convicted 9 February 1984 



10:5 



NORTH CAROLINA REGISTER 



June 1, 1995 



325 



CONTESTED CASE DECISIONS 



g. 80-3447 Convicted 19 December 1980 

DUI on 29 November 1980 

9. The offenses referenced in Paragraph 8 and their dispositions, constitute Class B Misdemeanor convictions 
pursuant to 12 NCAC 10B .0103(10)(b), except for the 1993 fishing without a license conviction and the 1991 carrying a 
concealed weapon conviction, both of which constitute Class A Misdemeanor convictions pursuant to 12 NCAC 10B 
.0103(10)(a). 

10. Petitioner was appointed as a jailer with the Madison County Sheriffs Office on 12 April 1994. On 26 
September 1994, Joan G. Neuner, Director of the Sheriffs' Education and Training Standards Commission, sent to Petitioner 
by certified mail, a letter advising Petitioner that probable cause had been found to believe that his certification was subject 
to being denied, based upon probable cause to believe that Petitioner was convicted of 5 Class B Misdemeanors and two 
Class A Misdemeanors. This letter further advised Petitioner that probable cause existed to believe that his certification was 
subject to being denied based on his lack of good moral character as evidenced by his extensive criminal history record and 
his repeated involvement in illegal activities. 

Based upon careful consideration of the testimony and evidence presented at the hearing, the documents and exhibits 
received into evidence and the entire record in this proceeding, the undersigned makes the following: 

FINDINGS OF FACT 

1. Julia Lohman, Assistant Director of the Respondent's Sheriffs' Standards Division, is responsible for daily 
operations within the division. Ms. Lohman also processes applications and conducts criminal background investigations 
where necessary. 

2. When Ms. Lohman received the Petitioner's Personal History Statement in April of 1994, she noted that 
he had been convicted of a Class B Misdemeanor. 

3. Ms. Lohman had also received the Clerk of Court's record and the "DO" Terminal Inquiry Report on 
Petitioner. 

4. Subsequently, Petitioner was denied his application for a Justice Officer (Jailer) for the following reasons: 

a. Class B Misdemeanor within the last five years (12 NCAC 10B .0204(d)(1). 

b. Failure to meet minimum standards (12 NCAC 10B (b)(2). 

c. Lack of good moral character (12 NCAC 10B .0301(a)(8). 

d. Four or more Class B Misdemeanors (12 NCAC 10B .0204(d)(3)(6). 

5. On September 26, 1994, the Respondent sent the Petitioner a letter notifying him of the Commission's 
decision to deny his application for certification. 

6. The decision was deferred to allow Petitioner the opportunity to file request for a hearing, which Petitioner 
did. 

7. Petitioner worked part-time for the Madison County Sheriffs' Department starting in November of 1993 
for approximately six months. He then began to work there on a full-time basis, and has remained there pending the final 
decision of the Commission. 

8. Petitioner does not deny the charges or the convictions but he believes that he is of good moral character. 

9. Petitioner testified that most of the charges were 10 years ago and that, at that time, he was involved with 



alcohol. 



10. Petitioner testified that he has been separated for two years from his wife and that he has sole custody of 

his two small children. He is presently 30 years of age. 

326 NORTH CAROLINA REGISTER June 1, 1995 10:5 



CONTESTED CASE DECISIONS 



11. Petitioner testified that the work he does at the Madison County Sheriffs Department is "more than a job 
to me - it's the things I believe in." 

12. Petitioner's work as a Jailer/Dispatcher is "unarmed." 

13. Petitioner stated that the letter from Petitioner to the Commission, dated November 21, 1994, states that 
the concealed weapon charge involved a "hunting knife." This, he testified, was incorrect because the letter was written by 
a social worker who was trying to help him. He testified that the knife was a switchblade but the social worker did not know 
that. 

14. Sheriff James Dedrick Brown, the Sheriff of Madison County for the last eight years, testified on behalf 
of the Petitioner. 

15. Sheriff Brown testified that he hired the Petitioner approximately three years ago part-time, and that the 
Petitioner has been working for him full-time for the last two years. 

16. Sheriff Brown testified that Petitioner works as a Jailer and Dispatcher, which is a combined task position 
in Madison County. 

17. Sheriff Brown testified that he has been very satisfied with the Petitioner's performance. He testified that 
Petitioner is the best Dispatcher and Jailer that he has. The sheriff further testified that the Petitioner always comes in during 
the night when he is called to work, that Petitioner always arrives half an hour before his starting time, and that the only 
time the Petitioner takes time away from work is when he has to take his children to the doctor. 

18. Sheriff Brown also testified that everyone at the Sheriffs Department likes the Petitioner, that Petitioner 
caught on to the computer system quickly, even at the time when the dispatcher was responsible for the "91 1" calls 

19. Sheriff Brown further testified that Petitioner does an excellent job and that there are no "ifs, and/or buts 
about it," the Petitioner is the best Jailer/Dispatcher he has. 

20. The Sheriff also testified that Petitioner is an honest man and that he only hires honest people. He testified 
that he believes in Petitioner and knows him to be a good father. He has met his children and they are "nice kids. " He 
testified that the Petitioner, who does not have a driver's license, can walk to work and is able to support his children with 
this job. 

21. The Sheriff testified that he is aware that a dispatcher does not need to be certified by the Commission, 
but that in Madison County the positions are designated as Dispatcher/Jailer. 

22. Sheriff Brown also testified that he has had the opportunity to call the Petitioner in to work at all hours of 
the day or night and that he has never smelled alcohol on his breath. The Sheriff further testified that his wife is able to 
smell alcohol at a great distance and that while she knows the Petitioner, she too has never smelled alcohol on or about his 
body. 

23. Danny Goldforth is the Chief of Police in Marshall, a town in Madison County. 

24. Chief Goldforth is familiar with the Petitioner, has known him all of his life, but did not know him well 
until he came to work at the Madison County Sheriffs Department. 

25. Chief Goldforth testified that Petitioner is renting a mobile home from him and has been for the past year 
and a half. He testified that Petitioner has always been early with the rent and has taken good care of the property. 

26. Chief Goldforth has never seen any alcohol or smelled any alcohol on Petitioner's breath. 

27. Chief Goldforth also testified that in his working with the Madison County Sheriffs Department he has 
had several people comment to him that Petitioner is doing a great job. 

28. In Chief Goldforth's opinion, Petitioner's moral character is "one of the best." 



10:5 NORTH CAROLINA REGISTER June 1, 1995 327 



CONTESTED CASE DECISIONS 



29. Hoyle Duncan is a Special Deputy with the Madison County Sheriffs Department. Deputy Duncan is 
retired but is called back to service on occasion. 

30. Deputy Duncan testified that he knows Petitioner and has worked along side him for two and a half to three 
years. Deputy Duncan testified that he did not know Petitioner before they began to work together. 

3 1 . Deputy Duncan testified that he sees Petitioner two to three times a week and that they often have the 

opportunity to talk together. Petitioner talks about his family life and Deputy Duncan has seen him interact with his children. 

32. Deputy Duncan testified that he, too, was a single parent and has been able to sympathize and advise 
Petitioner. 

33. Deputy Duncan also testified that he does not know anything bad about the Petitioner. That he believes 
him to be trustworthy and that at work all the deputies say he is the best deputy in the county because he tries "real hard.". 
Deputy Duncan testified that Petitioner comes in a lot earlier than his scheduled time, that he stays late, and that he doesn't 
"impose himself on you." 

34. David Ray Satterfield is the Highway Patrolman who arrested Petitioner in 1991 for "driving while license 
revoked." Trooper Satterfield is retired now but 12 months after the first arrest he saw Petitioner driving again and "took 
a warrant out on him," knowing that he did not have a license. 

35. Trooper Satterfield testified that he saw the Petitioner during the time he was in jail awaiting trial and that 
the owner of the company Petitioner then worked for came and bailed him out. That employer told Trooper Satterfield that 
the Petitioner was an "excellent employee." 

36. Trooper Satterfield testified that he has known people "to turn their lives around." He testified that more 
times than not it does not happen but in this case he believes Petitioner is one of the people who has succeeded. 

37. Trooper Satterfield testified that he takes DWIs very seriously but that if an arrest has caused someone to 
change his ways, then the law has accomplished what it was supposed to do. He testified further that he "normally don't 
do what I'm doing today." 

38. Petitioner testified that the social worker believes in him and the four law enforcement officers who came 
to testify on his behalf believe in him as well. He testified that his life has changed and that he wants to make his career 
in the Sheriffs Department. Petitioner further testified that he wants this job very much but that if he doesn't get it he will 
continue to stay on the right track. 

Based upon the above Findings of fact, the undersigned makes the following: 

CONCLUSIONS OF LAW 

1. The Respondent has the authority to deny Petitioner's application for certification based on the authority- 
cited in the rules noted earlier in this decision. 

2. The Petitioner committed offenses for which he can correctly be denied certification. 

3. The rules citing various offenses as grounds for denial of certification provide that the Commission " may " 
deny certification based on those offenses. 

4. Based upon the strong showing of support and testimony attributing good character as well as excellent 
employment habits to the Petitioner by law enforcement officers, three of whom have known and worked with Petitioner over 
the last two to three years, there has been sufficient evidence to show that the Respondent should, in this instance, use its 
discretionary authority and permit the Petitioner to be certified as a Jailer. 

5. The rule citing the requirement for good moral character provide that the Commission "shall" deny 
certification based on a lack of eood moral character. 



328 NORTH CAROLINA REGISTER June 1, 1995 10:5 



CONTESTED CASE DECISIONS 



6. Again giving due deference to trustworthy and reliable people who have known Petitioner and have 
observed him directly for an extended period of time, the evidence indicates that Petitioner's moral character is good. 

7. It is, therefore, concluded that the Petitioner has good moral character and the Commission would be 
correct in allowing the certification of Petitioner as a Justice Officer (Jailer). 

Based upon the above Conclusions of Law, the undersigned makes the following: 

PROPOSAL 

That the initial decision to deny Petitioner's application for certification as a Jailer be REVERSED. 

ADDENDUM 

While it is clear that Petitioner could find other employment which did not require certification from the 
Commission, reality has placed him in the employ of the Sheriff of Madison County. It is there he has established himself 
as a valuable member of the organization and it is there he is able to walk to work and to find support and affirmation among 
his fellow officers. While Petitioner may find employment in another area, he has in fact become a member of the Sheriffs 
Department where he has proved himself to a noteworthy degree. 

ORDER 

It is hereby ordered that the agency serve a copy of the final decision on the Office of Administrative Hearings, P.O. 
Drawer 27447, Raleigh, N.C. 27611-7447, in accordance with North Carolina General Statutes 150B-36(b). 

NOTICE 

The agency making the final decision in this contested case is required to give each party an opportunity to file 
exceptions to this proposal for decision, to submit proposed findings of fact and to present oral and written arguments to the 
agency. G.S. 150B-40(e). 

The agency is required by G.S. 150B-36(t>) to serve a copy of the final decision on all parties and to furnish a copy 
to the parties' attorney of record and to the Office of Administrative Hearings. 

The agency that will make the final decision in this contested case is the North Carolina Sheriffs' Education and 
Training Standards Commission. 

This the 4th day of May, 1995. 



Dolores O. Nesnow 
Administrative Law Judge 



10:5 NORTH CAROLINA REGISTER June 1, 1995 329 



NORTH CAROLINA ADMINISTRATIVE CODE CLASSIFICATION SYSTEM 



lhc North Carolina Administrative Code (NCAC) has four major subdhisions of rules. Two of these, titles 
and chapters, are mandatory: The major subdivision of the NCAC is the title. Each major department in 
the North Carolina executive branch of government has been assigned a title number. Titles are further 
broken down into chapters which shall be numerical in order. The other two, subchapters and sections 
are optional subdivisions to be used by agencies when appropriate. 



TITLE/MAJOR DIVISIONS OF THE NORTH CAROLEVA ADMINISTRATIVE CODE 
TITLE DEPARTMENT LICENSEVG BOARDS CHAPTER 



1 


Administration 


Acupuncture 


1 


2 


Agriculture 


Architecture 


2 


3 


Auditor 


Auctioneers 


4 


4 


Commerce 


Barber Examiners 


6 


5 


Correction 


Certified Public Accountant Exammers 


8 


6 


Council of State 


Chiropractic Exammers 


10 


7 


Cultural Resources 


General Contractors 


12 


8 


Elections 


Cosmetic Art Exammers 


14 


9 


Governor 


Dental Exammers 


16 


10 


Human Resources 


Dietetics/Nutrition 


17 


11 


Insurance 


Electrical Contractors 


18 


12 


Justice 


Electrolysis 


19 


13 


Labor 


Foresters 


20 


14A 


Crime Control & Public Safety 


Geologists 


21 


15A 


Environment, Health, and Natural 


Hearing Aid Dealers and Fitters 


22 




Resources 


Landscape Architects 


26 


16 


Public Education 


Landscape Contractors 


28 


17 


Revenue 


Marital and Family Therapy 


31 


18 


Secretary of State 


Medical Exammers 


32 


19A 


Transportation 


Midwifery Jomt Committee 


33 


20 


Treasurer 


Mortuary' Science 


34 


-21 


Occupational Licensing Boards 


Nursing 


36 


22 


Administrative Procedures 


Nursing Home Admmistrators 


37 


23 


Community Colleges 


Occupational Therapists 


38 


24 


Independent Agencies 


Opticians 


40 


25 


State Personnel 


Optometry' 


42 


26 


Administrative Hearings 


Osteopathic Exammation & Reg. (Repealed) 


44 


27 


NC State Bar 


Pharmacy 


46 






Physical Therapy Exammers 


48 






Plumbing. Heatmg & Fire Sprinkler Contractors 


50 






Podiatry Exammers 


52 






Professional Counselors 


53 






Practicing Psychologists 


54 






Professional Engmeers & Land Surveyors 


56 






Real Estate Appraisal Board 


57 






Real Estate Commission 


58 






Refrigeration Exammers 


60 






Sanitarian Exammers 


62 






Social Work Certification 


63 






Speech & Language Pathologists & Audiologists 


64 






Therapeutic Recreation Certification 


65 






Veterinary Medical Board 


66 



Note: Title 21 contains the chapters of the various occupational licensing boards. 



330 



NORTH CAROLINA REGISTER 



June 1, 1995 



10:5 






CUMULATIVE INDEX 





Agency /Rule Citation 


Proposed in 
Register 


Proposed 
Effective 


Fiscal Note 






Effective 
Date 


Other Information 




Local 


Date 


State 







ACUPUNCTURE LICENSING BOARD 



21 NCAC01 


.0101 




10:02 NCR 


150 


07/01/95 








.0401 - 


.0402 


10:02 NCR 


150 


07/01/95 






AGRICULTURE 
















2 NCAC 34 


.0904 




10:04 NCR 


228 


08/01/95 






CERTIFIED PUBLIC ACCOUNTANT EXAMINERS 








21 NCAC 08F 


.0105 




10:04 NCR 


255 


08/01/95 








.0113 




10:04 NCR 


255 


08/01/95 






08G 


.0401 




10:04 NCR 


255 


08/01/95 






08J 


.0005 




10:04 NCR 


255 


08/01/95 








.0008 




10:04 NCR 


255 


08/01/95 






08M 


.0102 




10:04 NCR 


255 


08/01/95 








.0104 




10:04 NCR 


255 


08/01/95 








.0306 




10:04 NCR 


255 


08/01/95 








.0401 




10:04 NCR 


255 


08/01/95 






08N 


.0203 




10:04 NCR 


255 


08/01/95 








.0302 




10:04 NCR 


255 


08/01/95 








.0307 




10:04 NCR 


255 


08/01/95 






CHIROPRACTIC EXAMINERS 












21 NCAC 10 


.0203 




10:04 NCR 


261 


08/01/95 






COMMUNITY COLLEGES 












23 NCAC 02C 


.0108 




10:03 NCR 


208 


09/01/95 








.0211 




10:03 NCR 


208 


09/01/95 








.0306 




10:03 NCR 


208 


09/01/95 






COMMERCE 
















4 NCAC 06C 


.0203 




10:05 NCR 


300 


09/01/95 






CORRECTION 
















5 NCAC 05 


.0001 




10:01 NCR 


12 


07/01/95 






CULTURAL RESOURCES 












7 NCAC 02F 


.0002 




10:01 NCR 


12 


07/01/95 






ENVIRONMENT 


HEALTH, AND NATURAL RESOURCES 






15A NCAC 02B 


.0101 
.0104 
.0202 
.0211 
.0301 




10:01 NCR 
10:01 NCR 
10:01 NCR 
10:01 NCR 
10:01 NCR 


13 
13 
13 

13 
13 










.0304 




10:04 NCR 


246 


01/01/96 








.0304 




10:05 NCR 


301 


11/01/95 








.0316 




10:04 NCR 


246 


01/01/96 






02D 


.0520 




10:01 NCR 


13 


07/01/95 


X 


X 




.0531 




10:01 NCR 


13 


07/01/95 


X 


X 




.0902 




10:01 NCR 


13 


07/01/95 


X 


X 




.0909 




10:01 NCR 


13 


07/01/95 


X 


X 




0952 




10:01 NCR 


13 


07/01/95 


X 


X 




.1402 




10:01 NCR 


13 


07/01/95 


X 


X 




.1406 




10:01 NCR 


13 


07/01/95 


X 


X 




.1409 




10:01 NCR 


13 


07/01/95 


X 


X 




.1701 - 


.1702 


10:01 NCR 


13 


07/01/95 


X 


X 




.1801 - 


.1803 


10:01 NCR 


13 


07/01/95 


X 


X 


NPDES Permit 






10:02 NCR 


56 








04B 


.0028 




10:02 NCR 


149 


07/01/95 






07H 


.0208 




10:03 NCR 


197 


12/01/95 








.2201 - 


.2202 


10:03 NCR 


204 


12/01/95 







Correction to Notice 
Correction to Notice 
Correction to Notice 
Correction to Notice 
Correction to Notice 



10:5 



NORTH CAROLINA REGISTER 



June 1, 1995 



331 



CUMULATIVE INDEX 





Agency/Rule Citation 


Proposed in 
Register 


Proposed 

Effective 

Date 


Fiscal Note 






Effective 
Date 


Other Information 


State 


Local 



.2203 




10:03 NCR 


:o4 


12/01/95 


.2204 - 


.2205 


10:03 NCR 


204 


12/01/95 


10B .0202 - 


.0203 


10:01 NCR 


26 


07/01/95 


.0202 




10:04 NCR 


249 


08/01/95 


.0214 




10:01 NCR 


26 


07/01/95 


10D .0002 - 


.0003 


10:01 NCR 


26 


07/01/95 


.0003 




10:04 NCR 


250 


08/01/95 


10F .0317 




10:01 NCR 


26 


07/01/95 


Wildlife Proclamation/Stripes 


Bass 


10:02 NCR 


57 


04/10/95 






10:03 NCR 


195 


04/15/95 


19C .0206 




10:05 NCR 


305 


10/01/95 


FINAL DECISION LETTERS 








Voting Rights Act 




10:01 NCR 
10:03 NCR 
10:05 NCR 


o: 

194 
298 




GOVERNOR'S EXECUTIVE ORDERS 






Number 72 




10:01 NCR 


01 




Number 73 




10:02 NCR 


54 




Number 74 




10:02 NCR 


54 




Number 75 




10:03 NCR 


191 




Number 76 




10:03 NCR 


191 




Number 77 




10:05 NCR 


29" 




HUMAN RESOURCES 










10 NCAC 03H .0108 - 


.0109 


10:02 NCR 


58 


09/01/95 


.0206 - 


.0220 


10:02 NCR 


58 


09/01/95 


.0306 - 


.0318 


10:02 NCR 


58 


09/01/95 


.0407 - 


.0409 


10:02 NCR 


58 


09/01/95 


.0505 - 


.0507 


10:02 NCR 


58 


09/01/95 


.0510- 


.0517 


10:02 NCR 


58 


09/01/95 


.0605 - 


.0609 


10:02 NCR 


58 


09/01/95 


.0705 - 


.0712 


10:02 NCR 


58 


09/01/95 


.0810 - 


.0812 


10:02 NCR 


58 


09/01/95 


.0903 - 


.0911 


10:02 NCR 


58 


09/01/95 


.1003 - 


.1008 


10:02 NCR 


58 


09/01/95 


.1105- 


.1109 


10:02 NCR 


58 


09/01/95 


.1130 - 


.1136 


10:02 NCR 


58 


09/01/95 


.1150- 


.1163 


10:02 NCR 


58 


09/01/95 


.1204- 


.1208 


10:02 NCR 


58 


09/01/95 


.1210 




10:02 NCR 


58 


09/01/95 


.1306- 


.1308 


10:02 NCR 


58 


09/01/95 


.1405 - 


.1406 


10:02 NCR 


58 


09/01/95 


.1408 - 


.1410 


10:02 NCR 


58 


09/01/95 


.1501 - 


.1503 


10:02 NCR 


58 


09/01/95 


.1612 - 


.1613 


10:02 NCR 


58 


09/01/95 


.1703 - 


.1704 


10:02 NCR 


58 


09/01/95 


.1804- 


.1807 


10:02 NCR 


58 


09/01/95 


.2001 




10:02 NCR 


58 


09/01/95 


.2101 - 


.2110 


10:02 NCR 


58 


09/01/95 


.2201 - 


.2212 


10:02 NCR 


58 


09/01/95 


.2301 - 


.2308 


10:02 NCR 


58 


09/01/95 


.2401 - 


.2402 


10:02 NCR 


58 


09/01/95 


.2501 - 


.2506 


10:02 NCR 


58 


09/01/95 


.2601 - 


.2607 


10:02 NCR 


58 


09/01/95 


.2701 




10:02 NCR 


58 


09/01/95 


.2801 - 


.2802 


10:02 NCR 


58 


09/01/95 


.2901 - 


.2902 


10:02 NCR 


58 


09/01/95 


.3001 - 


.3005 


10:02 NCR 


58 


09/01/95 


.3011 - 


.3016 


10:02 NCR 


58 


09/01/95 


.3021 - 


.3032 


10:02 NCR 


58 


09/01/95 


.3101 - 


.3104 


10:02 NCR 


58 


09/01/95 



i 



03/06/95 
03/15/95 
03/27/95 
03/30/95 
04/03/95 
05/02/95 



( 



332 



NORTH CAROLINA REGISTER 



June 1, 1995 



10:5 



CUMULATIVE INDEX 






Agency/Rule Citation 


Proposed in 
Register 


Proposed 

Effective 

Date 


Fiscal Note 


Effective 
Date 


Other Information 


State 


Local 







.3201 - 


.3202 






.3301 - 


.3302 






.3401 - 


.3404 




18J 


.0803 






26B 


.0124 






26H 


.0302 








.0304 - 


.0305 






.0308 - 


.0309 




26H 


.0213 






41F 


.0706 
.0812 




INSURANCE 






1 1 NCAC 


06A 


.0812 




JUSTICE 








12 NCAC 


09A 


.0204 






09B 


.0113 








.0201 - 


.0202 






.0205 - 


.0206 






.0210 








.0212 - 


.0214 






.0226 - 


.0228 






.0232 - 


.0233 




09C 


.0401 
.0601 






09D 


.0102 








.0104 - 


.0106 




11 


.0210 





LABOR 

13 NCAC 



12 .0101 

.0303 .0315 
.0501 - .0502 
.0803 - .0808 

LIST OF RULES CODIFIED 



MEDICAL EXAMINERS 

21 NCAC 32H .0102 
.0201 
.0203 
.0408 
.0506 
.0601 
.0602 
.0801 
.1001 
321 .0003 - .0004 



10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


118 


10:02 NCR 


118 


10:04 NCR 


228 


10:04 NCR 


228 


10:04 NCR 


228 


10:02 NCR 


118 


10:03 NCR 


196 


10:03 NCR 


196 


10:04 NCR 


246 


10:02 NCR 


122 


10:02 NCR 


122 


10:02 NCR 


122 


10:02 NCR 


122 


10:02 NCR 


122 


10:02 NCR 


122 


10:02 NCR 


122 


10:02 NCR 


122 


10:02 NCR 


122 


10:02 NCR 


122 


10:02 NCR 


122 


10:02 NCR 


122 


10:05 NCR 


301 


10:01 NCR 


10 


10:01 NCR 


12 


10:02 NCR 


149 


10:02 NCR 


149 


10:02 NCR 


149 


10:02 NCR 


149 


10:03 NCR 


196 


10:03 NCR 


197 


10:02 NCR 


142 


10:02 NCR 


142 


10:02 NCR 


142 


10:02 NCR 


142 


10:02 NCR 


167 


10:04 NCR 


272 


10:02 NCR 


151 


10:02 NCR 


151 


10:02 NCR 


151 


10:02 NCR 


151 


10:02 NCR 


151 


10:02 NCR 


151 


10:02 NCR 


151 


10:02 NCR 


151 


10:02 NCR 


151 


10:02 NCR 


151 



09/01/95 
09/01/95 
09/01/95 
07/01/95 
07/01/95 
08/01/95 
08/01/95 
08/01/95 
07/01/95 
08/01/95 
08/01/95 



08/01/95 



08/01/95 
08/01/95 
08/01/95 
08/01/95 
08/01/95 
08/01/95 
08/01/95 
08/01/95 
08/01/95 
08/01/95 
08/01/95 
08/01/95 
09/01/95 



01/01/96 
01/01/96 
10/01/95 
01/01/96 
01/01/96 
02/01/96 
01/01/96 
01/01/96 
08/01/95 
08/01/95 
08/01/95 
08/01/95 



07/01/96 
07/01/96 
07/01/96 
07/01/96 
07/01/96 
07/01/95 
07/01/96 
07/01/96 
07/01/96 
07/01/95 



Notice 
Notice 
Notice 
Notice 
Notice 
Notice 
Notice 
Notice 



on Subject 
on Subject 
on Subject 
on Subject 
on Subject 
on Subject 
on Subject 
on Subject 



Matter 
Matter 
Matter 
Matter 
Matter 
Matter 
Matter 
Matter 



Rules Filed 03/95 
Rules Filed 04/95 



NURSING HOME ADMINISTRATORS 

21 NCAC 37 .0101 10:04 NCR 262 



08/01/95 



10:5 



NORTH CAROLINA REGISTER 



June 1, 1995 



333 



CUMULATIVE INDEX 





Agency/Rule Citation 


Proposed in 
Register 


Proposed 

Effective 

Date 


Fiscal Note 


Effective 
Date 


Other Information 


State 


Local 



0302 


10:03 NCR 


206 


08/01/95 


0404 


10:03 NCR 


206 


08/01/95 


0502 


10:03 NCR 


:06 


08/01/95 


0603 


10:03 NCR 


206 


08/01/95 


0904 


10:04 NCR 


262 


08/01/95 


0912 


10:03 NCR 


206 


08/01/95 


0914 


10:03 NCR 


206 


08/01/95 



PLUMBING, HEATING & FIRE SPRINKLER CONTRACTORS 

21 NCAC 50 .0402 10:01 NCR 39 09/01/95 

.0505 10:01 NCR 39 09/01/95 



PROFESSIONAL COUNSELORS 








21 NCAC 53 


.0204 - 


.0211 


10:01 NCR 


40 


07/01/95 




.0301 




10:01 NCR 


40 


07/01/95 




.0305 - 


.0310 


10:01 NCR 


40 


07/01/95 




.0403 - 


.0405 


10:01 NCR 


40 


07/01/95 




.0601 - 


.0604 


10:01 NCR 


40 


07/01/95 


REAL ESTATE COMMISSION 








21 NCAC 58 A 


.0110 




10:02 NCR 


157 


07/01/95 




.0403 




10:04 NCR 


263 


08/01/95 




.0503 




10:04 NCR 


263 


08/01/95 




.0504 - 


.0506 


10:02 NCR 


157 


07/01/95 




.0505 




10:04 NCR 


263 


08/01/95 




.1703 




10:02 NCR 


157 


07/01/95 




.1707- 


.1708 


10:02 NCR 


157 


07/01/95 




.1710- 


.1711 


10:02 NCR 


157 


07/01/95 


58E 


.0103 




10:02 NCR 


157 


07/01/95 




.0203 - 


.0204 


10:02 NCR 


157 


07/01/95 




.0303 - 


.0305 


10:02 NCR 


157 


07/01/95 




.0406 - 


.0407 


10:02 NCR 


157 


07/01/95 




.0506 




10:02 NCR 


157 


07/01/95 




.0515 




10:02 NCR 


157 


07/01/95 


REFRIGERATION EXAMINERS 








21 NCAC 60 


.0102 




10:04 NCR 


264 


08/01/95 




.0204 




10:04 NCR 


264 


08/01/95 




.0314 




10:04 NCR 


264 


08/01/95 




.1102 




10:04 NCR 


264 


08/01/95 


REVENUE 












Tax Review Board 






10:01 NCR 


03 




SECRETARY OF STATE 








18 NCAC 06 


.1205 - 


1206 


10:05 NCR 


306 


09/01/95 




.1208 




10:05 NCR 


306 


09/01/95 




.1302 - 


.1305 


10:05 NCR 


306 


09/01/95 




.1313 




10:05 NCR 


306 


09/01/95 


STATE PERSONNEL 










25 NCAC 01C 


.0207 




10:04 NCR 


264 


08/01/95 




.0402 - 


.0408 


10:04 NCR 


264 


08/01/95 


01D 


.0201 




10:04 NCR 


264 


08/01/95 




.0205 




10:04 NCR 


264 


08/01/95 




.0207 




10:04 NCR 


264 


08/01/95 




.0211 




10:04 NCR 


264 


08/01/95 




.0808 




10:04 NCR 


264 


08/01/95 




.1001 




10:04 NCR 


264 


08/01/95 




.1009 




10:04 NCR 


264 


08/01/95 




.1201 




10:04 NCR 


264 


08/01/95 




.1204 




10:04 NCR 


264 


08/01/95 



334 



NORTH CAROLINA REGISTER 



June 1, 1995 



10:5 



Agency/Rule Citation 



f 



CUMULATIVE INDEX 



Proposed in 
Register 



Proposed 

Effective 

Date 



Fiscal Note 



State Local 



Effective 
Date 



Other Information 



.1401 




10:04 NCR 264 


08/01/95 


.1801 - 


.1802 


10:04 NCR 264 


08/01/95 


.2001 




10:04 NCR 264 


08/01/95 


01 E .0804 




10:04 NCR 264 


08/01/95 


01K .0312 




10:04 NCR 264 


08/01/95 


TRANSPORTATION 








19A NCAC 02D .0801 




10:04 NCR 254 


09/01/95 



10:5 



NORTH CAROLINA REGISTER 



June 1, 1995 



335 



i 



BARCLAYS OFFICIAL NORTH CAROLINA ADMINISTRATIVE CODE - 1995 



DESCRIPTION 







ONE-TIME 


ANNUAL 






PURCHASE 


SUBSCRIPTION 




CODE 


PRICE 


PRICE 




201 00 00 


$63.00 


$90.00 




201 10 06 


$21.00 


$30.00 




201 10 33 


$17.50 


$25.00 




202 00 00 


$98.00 


$140.00 




202 15 09 


$28.00 


$40.00 




202 1 5 34 


$21.00 


$30.00 




202 15 43 


$21.00 


$30.00 




202 15 48 


$21.00 


$30.00 




202 15 52 


$21.00 


$30.00 




203 00 00 


$7.00 


$10.00 




204 00 00 


$87.50 


$125.00 




204 1 5 02 


$12.00 


$40.00 




204 1 5 03 


$24.50 


$35.00 




204 1 5 06 


$14.00 


$20.00 




204 1 5 09 


$14.00 


$20.00 




204 15 10 


$14.00 


$20.00 




204 15 16 


$24.50 


$35.00 




205 00 00 


$56.00 


$80.00 




205 1 5 02 


$24.50 


$35.00 




206 00 00 


$21.00 


$30.00 




207 00 00 


$21.00 


$30.00 




208 00 00 


$7.00 


$10.00 


e 


209 00 00 


$31.50 


$45.00 




210 00 00 


$346.50 


$495.00 




210 20 10 


$45.50 


$65.00 




210 20 20 


$31.50 


$45.00 




210 20 30 


$77.00 


$110.00 




210 20 40 


$119.00 


$170.00 




210 20 41 


$31.50 


$45.00 




210 20 42 


$31.50 


$45.00 




210 20 43 


$28.00 


$40.00 




210 20 44 


$17.50 


$25.00 




210 20 45 


$35.00 


$50.00 




211 00 00 


$63.00 


$90.00 




211 1001 


$56.00 


$80.00 




211 10 04 


$24.50 


$35.00 




211 1005 


$17.50 


$25.00 




211 1006 


$28.00 


$40.00 




211 1008 


$21.00 


$30.00 




212 00 00 


$63.00 


$90.00 




212 10 07 


$21.00 


$30.00 




212 10 09 


$31.50 


$45.00 




212 10 11 


$17.50 


$25.00 




213 00 00 


$77.00 


$110.00 




213 15 06 


$14.00 


$20.00 




213 20 00 


$31.50 


$45.00 




213 15 12 


$14.00 


$20.00 




213 15 13 


$14.00 


$20.00 




213 15 14 


$14.00 


$20.00 




213 15 15 


$14.00 


$20.00 


rwe 


214 00 00 


$31.50 


$45.00 




214 00 08 


$17.50 


$25.00 




214 00 11 


$14.00 


$20.00 


Full Tide 


215 00 00 


$276.50 


$395.00 




215 15 00 


$115.50 


$165.00 




215 15 10 


$49.00 


$70.00 




215 15 20 


$49.00 


$70.00 




215 15 30 


$56.00 


$80.00 




215 15 31 


$35.00 


$50.00 




215 15 32 


$17.50 


$25.00 



Title 1 - Dept. of Administration 

Division of Purchase & Contract 
Federal Block Grant Funds 



Full Title 



Title 2 - Dept. of Agriculture - Full Trde 

Food & Drug Protection Division 
Structural Pest Control Committee 
Agricultural Markets 
Plant Industry 
Animal Industry 

Title 3 - Dept. of State Auditor - Full Title 

Title 4 - Dept. of Commerce - Full Title 

Alcoholic Beverage Control Commission 

Banking Commission 

Credit Union Division 

Savings & Loan Division 

Industrial Commission/Workers Compensation 

Savings Institutions Division 

Title 5 - Dept. of Corrections - Full Title 

Division of Prisons 

Title 6 - Council of State - Full Title 

Title 7 - Dept. of Cultural Resources - Full Title 

Title 8 - State Board of Elections - Full Title 

Title 9 - Offices of the Governor & Lt. Governor - Full Title 

Title 10 - Dept. of Human Resources - Full Title 

Licensing of Health Facilities 

Detention Facilities 

Mental Health & Rehabilitation Services 

Social Services 

Children Services/Day Care 

Services for the Aging 

Services for the Blind 

Services for the Deaf & Hard of Hearing 

Employment Opportunities 

Title 1 1 - Dept. of Insurance - Full Title 

Insurance 

Consumer Services 

Fire & Rescue Services 

Agent Services 

Engineering & Building Codes 

Title 12 - Dept. of Justice - Full Title 

Private Protective Services 

Police & Sheriff's Education & Training Standards 

NC Alarm Systems Licensing Board 

Title 13 - Dept. of Labor - Full Title 

Mine & Quarry Safety 

General Safety/OSHA 

Wage & Hour Rules 

Boiler & Pressure Vessel Safety 

Apprenticeship & Training 

Elevator & Amusement Device Safety 

Title 14A - Dept. of Crime Control & Public Safety - Full Title 

Alcohol Law Enforcement 
Victims Compensation Fund 



Title 15A - Dept. of Environ., Health & Nat. Resources 

Environmental Management 

Air Quality 

Water Quality 

Land & Waste Management 

Solid Wa6te Management 

Underground Storage Tanks 



DESCRIPTION 





ONE-TIME 


ANNUAL 




PURCHASE 


SUBSCRIPTION 


CODE 


PRICE 


PRICE 


215 15 40 


$31.50 


$45.00 


215 25 00 


$105.00 


$150.00 


215 25 10 


$42.00 


$60.00 


215 25 20 


$35.00 


$50.00 


215 25 30 


$59.50 


$85.00 


215 25 31 


$17.50 


$25.00 


216 00 00 


$21.00 


$30.00 


216 10 06 


$21.00 


$30.00 


217 00 00 


$91.00 


$130.00 


217 15 10 


$31.50 


$45.00 


217 15 20 


$56.00 


$80.00 


217 15 27 


$31.50 


$45.00 


217 15 29 


$21.00 


$30.00 


218 00 00 


$21.00 


$30.00 


218 1006 


$21.00 


$30.00 


219 00 00 


$63.00 


$90.00 


219 10 02 


$28.00 


$40.00 


219 1003 


$35.00 


$50.00 


220 00 00 


$31.50 


$45.00 


221 00 00 


$143.50 


$205.00 


222 00 00 


$0.00 


$0.00 


223 00 00 


$7.00 


$10.00 


224 00 00 


$7.00 


$10.00 


225 00 00 


$42.00 


$60.00 


226 00 00 


$7.00 


$10.00 


227 00 00 


$42.00 


$60.00 


299 99 98 


$375.00 


$750.00 


266 00 00 




$750.00 


266 50 00 




$250.00 


288 50 00 


$295.00 


$475.00 


288 80 00 


$40.00 


$75.00 


299 90 00 


$16.00 





Coastal Management 

Environmental Health 

Radiation/Nuclear Waste 

Sanitation 

Public Health 

Intoxilizer & Breathalyser 

Tide 16 - Dept. of Public Instruction - Full Title 

Elementary & Secondary Education 

Title 17 - Dept. of Revenue - Full TitJe 

Taxes on Individuals 
Taxes on Business 
Sales & Use Tax Division 
Motor Fuels Tax Division 

Title 1 8 ■ Secretary of State - Full Title 

Securities Division 

Title 19A - Dept. of Transportation - Full Title 

Division of Highways 
Division of Motor Vehicles 

Title 20 - Dept. of the State Treasurer - Full Title 

Title 21 - Occupational Licensing Boards - Full Title 

Title 22 - Administrative Procedures Act - Repealed 

Title 23 • Dept. of Community Colleges - Full Title 

Title 24 • Independent Agencies - Full Title 

Title 25 - Office of State Personnel - Full Title 

TitJe 26 - Office of Administrative Hearings - Full Title 

Title 27 - North Carolina State Bar - Full Title 

North Carolina Administrative Code - Full Code 

(Add $85.00 Shipping and Handling) 

CD-ROM North Carolina Administrative Code 
CD-ROM North Carolina Administrative Code 

(When purchased with the Full Code in Print) 

Master Index 

Master Table of Contents 

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